” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian
this Notification “Management company” means securities company licensed to undertake securities business in the category of private fund management. “Manager” means a person assigned by director of a
regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units
the government or securities regulator. “market maker” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net
a securities company licensed to undertake securities business in the category of mutual fund management. “foreign exchange” means [i] a juristic person established under foreign law which offers
the capital market. Chapter 1 Application for Approval as Auditor in the Capital Market _____________________ Part 1 Filing of Application ______________________ Clause 7 Any person wishing to be an
professional principle. “appraisal company in capital market” means a juristic person having normal business purpose to value any asset and wish to contribute appraisal services for capital market transaction
category of mutual fund or private fund management, or derivatives investment management company; “ fund ” means mutual fund and private fund; “ investor ” means any person interested in investing in capital
fund management, or derivatives investment management company; “fund” means mutual fund and private fund; “investor” means any person interested in investing in capital market products including
regulations: Clause 1 In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person” shall mutatis mutandis have the same meaning as defined