in writing and shall allocate sufficient personnel and resources for operating the work of branch office as well as arrange to have management and operational system to efficiently supervise and
Approval on Establishment of a New Limited Company or Public Limited Company to Undertake Securities Business in the Category of Private Fund Management Report/Form (Notification of Securities and Exchange
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Approval for Offer for Sale of Newly Issued Shares dated 30 September 2016 shall be repealed and replaced with the following provisions: “(b) the structure of the board of directors and the management shall
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natural person who ultimately owns the account, or has significant interests in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately
management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities opening accounts or engaging in business relationships with a securities company
, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities opening accounts or engaging in
. “ major participating investor ” means any person specified in the ETF scheme that such person would be able to buy or sell ETF units with mutual fund management company or operator of foreign ETF , as the