structured notes" means structured notes with a maturity date of not exceeding 270 days from the issuance date of such structured notes. "company" means: (1) a private limited company or public limited company
, services or the operation of fund management, or service of brokerage, dealing or underwriting of investment units such as a fund fact sheet; (2) “Fund” means any mutual fund or private fund; (3) “Securities
underwriting of investment units such as a fund fact sheet; (2) “Fund” means any mutual fund or private fund; (3) “Securities company” means: (a) Management company; (b) Securities company performing the duties
December 2001 shall be repealed. Clause 2. In this notification: “Investor contact person” means a natural person who has been approved to be an investor contact person under the Notification of the
provide investment advice or to solicit customers with private fund management plan, the management company has personnel designated as an investor contact person and has a system that allows communication
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 market products
person in the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis . Chapter 1 General Provisions _____________ Clause 4 An intermediary which
Companies shall be in accordance with Chapter 2; (3) Additional Rules for Proprietary Trading of Derivatives Brokers shall be in accordance with Chapter 3. The management of investment of a juristic person in