considering the purchase of units of foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If you are in any doubt, you should consult

Office to visit and inspect the audit firm with which the applicant is affiliated or any other establishment necessary for the consideration of the application for approval, the applicant shall be

office or a manager from a branch office. Clause 11. For a management company that is going to close any branch office either temporarily or permanently, the date which the management company closes such

close any branch office either temporarily or permanently, the date which the management company closes such branch office shall be deemed the date permission to establish such branch office has been

August 2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “ derivatives broker ” means any person licensed to undertake derivatives business in the category of

2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of

2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of

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

under the law on securities and exchange . “ foreign ETF ” means a collective investment scheme in the category of exchange-traded fund either in form of company or trust under foreign law. “ short

and exchange1. “foreign ETF” means a collective investment scheme in the category of exchange-traded fund either in form of company or trust under foreign law. “short selling” means selling securities