business undertaking; (7)1 “investor contact” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment in securities for
share sale and purchase; or (3) Determine the new completion date which shall be no more than 5 business days from the previously stipulated completion date, provided that each of the parties performs its
” means a manager of the branch office or a person responsible for the operation of a branch office; “ fund manager ” means a mutual fund manager or a private fund manager who performs the duty of making
operation of a branch office; “fund manager” means a mutual fund manager or a private fund manager who performs the duty of making decisions on investment in or disposing of securities or any other asset
downturn and normally performs ahead of the general GDP trend. As uncertainties lie ahead, the management focuses on mobilizing operational responses to protect revenue while managing cost to ensure
in capital market industry” means personnel in securities and derivatives businesses; (3) “personnel in securities business” means any person who performs duties for the benefit of the securities
of such other business operation; (2) name, address, curriculum vitae, experience and identification number of the person who performs the duty of giving advice to the customer; (3) statements
company’s business operation; (8) “ investor contact ” means a person who performs the duties of communicating, soliciting, giving advice, or investment planning for investors or clients of securities