, or employee of another company and not being a derivatives investment manager for another person whose business is of similar nature or competitive with the investment management company’s business
an offer for sale of securities or an issuer of underlying shares of underwritten securities, including a person holding a position whose authority is similar to such person; (6) “offering closing date
of securities or an issuer of underlying shares of underwritten securities, including a person holding a position whose authority is similar to such person; (6) “offering closing date” means the day on
customer’s complaint relating to the giving of advice or placing of orders whose proceeding has not been completed within such period, the record of such advice or order shall be kept until the handling of
, should there be any customer’s complaint relating to the giving of advice or placing of orders whose proceeding has not been completed within such period, the record of such advice or order shall be kept
intermediary only; (3) investment in the units of a fixed-income mutual fund whose investment scheme specifies a single offer only and fixed maturity may be made, provided that such units shall be held until
intermediary only; 4 (3) investment in the units of a fixed-income mutual fund whose investment scheme specifies a single offer only and fixed maturity may be made, provided that such units shall be held until
applicant. The original shareholders in Paragraph 1 shall mean the shareholders whose names are on the applicant’s shareholder list as submitted to the Ministry of Commerce. Clause 5 In the case where an