number of clients? securities trading orders. Such actions were in violation of Clauses 23(1) and 23(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on
Application for approval as trust manager under the Notification of the Office of the Securities and Exchange Commission concerning rules, conditions and procedures for granting approval as trust manager and
company” means mutual fund management company; “fund manager register” means register of person qualified to be fund manager under the Notification of the Office of the Securities and Exchange Commission
similar characteristics to person under (1) to (22); (24) fund manager whose name is registered as qualified fund manager under the Notification of the Office of the Securities and Exchange Commission
regulations: Clause 1 In this Notification: (1) “executive” means a manager or a person with power of management; (2) “manager” means any person who is authorized by the board of directors of the company to
dated 4 June 2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “executive” means a manager or an authorized management person; (2) “manager” means a person
Securities and Exchange Commission hereby issues the following regulations: Clause 1 . In this notification: “Derivatives fund manager” means any person licensed or registers to undertake derivatives business
Commission hereby issues the following regulations: Clause 1. In this notification: “Derivatives fund manager” means any person licensed or registers to undertake derivatives business in the category of
Exchange Commission hereby issues the following regulations: Clause 1. In this notification: “Derivatives fund manager” means any person licensed or registers to undertake derivatives business in the
notification of the SEC. “derivatives fund manager” means any person who, in the ordinary course of business, engages in the business of managing funds for others, or holds himself out to the general public as