institutions established under other laws. Clause 4 In this Notification: “intermediary” means a securities company and a derivatives intermediary. “branch office” means a branch office of an intermediary, no
, excluding the branch office of [an intermediary which is] financial institutions established under other laws. Clause 4 In this Notification: “intermediary” means a securities company and a derivatives
] financial institutions established under other laws. Clause 4 In this Notification: “intermediary” means a securities company and a derivatives intermediary. “branch office” means a branch office of an
securities business in the category of private fund management; (6) “ gold ETF ” means a gold ETF established under the Notification of the Office of the Securities and Exchange Commission concerning
business in the category of private fund management; (6) “gold ETF” means a gold ETF established under the Notification of the Office of the Securities and Exchange Commission concerning Establishment of
have established any arrangement to ensure that the relevant service provider is able to continue to provide the critical functions in such event of disruption. For the purpose of Paragraph 1, the term
investment units, established and managed by a management company. “Fund supervisor” means the fund supervisor of a closed-end fund. “Office” means the Office of the Securities and Exchange Commission. Clause