approval of, and registration with, the SEC Office with the objective to promote and develop securities businesses in the category of investment management. Clause 2 This Notification is intended to
and established under the approval of, and registration with, the SEC Office with the objective to promote and develop securities businesses in the category of investment management. Clause 2 This
guidelines specified by the intermediary in compliance with the aforesaid rules. In this regard, such measures shall at least ensure that the service provider shall not have any characteristic which may cause
objective of each client . “ investment analyst ” means a person providing investment consultation to investors and being allowed to analyze investment, relating to the value and appropriateness for trading
order to specifically plan and provide investment consultation on capital market product in line with the risk tolerence and the investment objective of each client. “investment analyst” means a person
transaction is significant due to its investment objective which informed to shareholders in the Company’s filing and according to Good Corporate Governance. Therefore, the Company has to propose to the
is significant due to its investment objective which informed to shareholders in the Company’s filing and according to Good Corporate Governance. Therefore, the Company has to propose to the