.: _____________________________ Fax No.: _________________________ 15) Is the CIS Operator currently licensed or authorised to conduct fund management in the jurisdiction of its principal place of business? Yes No If “No”, please
for Undertaking Businesses as Derivatives Business Operator (No. 2) dated 14 December 2017; 2 Clause 2 In this Notification: “licensee” means: (1) person licensed to undertake securities business
for Undertaking Businesses as Derivatives Business Operator (No. 2) dated 14 December 2017; Clause 2 In this Notification: “ licensee ” means: (1) person licensed to undertake securities business
Exchange Commission No. KorThor. 65/2547 Re: Rules for Derivatives Business Operation for a Licensed Derivatives Broker dated 22 December 2004 require derivatives broker to prepare a risk disclosure
. KorThor. 65/2547 Re: Rules for Derivatives Business Operation for a Licensed Derivatives Broker dated 22 December 2004 require derivatives broker to prepare a risk disclosure statement for futures trading
private fund; “Management company” means any mutual fund management company and private fund management company; “Mutual fund management company” means any securities company licensed to undertake
securities company licensed to undertake securities business in the category of mutual fund management; “Private fund management company” means any securities company licensed to undertake securities business