general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for undertaking 2
, securities dealing or securities underwriting of investment units without undertaking custody of clients’ assets; (2) a securities company which obtains a securities business license in the category of
category of mutual fund management All securities companies licensed to undertake securities business in the category of securities brokerage, securities dealing or undertaking of investment units All mutual
and Exchange Commission. Clause 3. Fund supervisor shall be commercial banks under the law on commercial bank, finance companies under the laws on undertaking of finance business, securities and credit
Exchange Commission. Clause 3. Fund supervisor shall be commercial banks under the law on commercial bank, finance companies under the laws on undertaking of finance business, securities and credit foncier
public limited company including a juristic person established by specific law with the object of undertaking business. "securities company" means any company, or financial institution licensed to
). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other