: “intermediary” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “affiliated
-Retail Investors, and Execution of Agreements for Management of Private Funds; “retail investor” means any investor other than institutional investor, ultra- high net worth investor, high net worth
: Clause 1 This Notification shall come into force as from 1 September 2017. Clause 2 In this Notification: “ Notification of Standard Conduct ” means the Notification of the Capital Market Supervisory Board
: Clause 1 This Notification shall come into force as from 1 September 2017. Clause 2 In this Notification: “Notification of Standard Conduct” means the Notification of the Capital Market Supervisory Board
Exchange Commission hereby issues guidelines for such consideration and procedures as follows: Clause 1. In this Notification; “Fund supervisor” means the mutual fund supervisor; “Mutual fund” means any
issues guidelines for such consideration and procedures as follows: Clause 1. In this Notification; “Fund supervisor” means the mutual fund supervisor; “Mutual fund” means any closed-end fund and open-end
. Clause 2. In this notification hereto: (1) “derivatives broker” means any entity licensed to undertake derivatives business in the category of derivatives broker; (2) “manager” means any person who is