operator or derivatives business operator which is in the same financial conglomerate, and provided that such supervisor is not a securities company or a derivatives broker which has been granted an
153 results Sort by: Relevance Date (Newest) Date (Oldest) English (United States) NAV Additional rules for long term funds (LTFs) Additional rules for exchange traded funds (ETFs) Additional rules for
applicant to fix or fill up additional information shall be specified. If the applicant fails to do so within such period, the SEC official will return the appilcation and evidentiary documentation to the
Chapter 1; (2) Additional Rules on Transactions for Clients with Intermediaries or Connected Persons shall be in accordance with Chapter 2; (3) Disclosure of Information related to Acts That May Cause a
prevention and management of conflicts of interest to be in the same manner with respect to the following matters: (1) Excessive Transactions for Clients shall be in accordance with Chapter 1; (2) Additional
Supervisor ______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification
Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor
Supervisory Board concerning Rules on Delivery or Distribution of Prospectus and Offering for Sale of Investment Units; (2) prospectus for a closed-end mutual fund for offerring for sale of additional
Additional Provisions for Establishment and Management of Mutual Funds under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People?s Republic of China and