such service provider operates business, the intermediary may use the assessment results of the supervisory standards on hedge funds (Principle 28) instead. 2 For the purpose of this Clause: The term
of the enforcement of this Act.
and Exchange Act. “SEC” means the Securities and Exchange Commission under the Securities and Exchange Act. “Minister” means the Minister in charge of this Act.
holidays. Clause 8. In the case where the securities company has been permitted to open on different hours and days from that indicated in Clause 3(1) prior to the effective date of this Notification, such
, of the securities company prior to the effective date of this Notification shall continue to be Category A investor contact and perform the duties of Category A investor contact until 31 December 2011
Director or Executive, but not the position of Manager, of the securities company prior to the effective date of this Notification shall continue to be Category A investor contact and perform the duties of
effective date of this Notification shall continue to be listed in the register of person qualified to be fund manager and perform the duties of fund manager until 31 December 2011. Clause 19. For any cases