Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling
: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund
(No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund supervisor; (4) a
. Chapter 1 Rules on Settlor ____________ Clause 5 A settlor shall be a private or public limited company which has been granted an approval by the SEC Office to be a REIT manager, or in the process of
Clause 14 Sukuk certificate (if any) shall at least have the following particulars: (1) name of the asset trustee, sukuk trustee and the originator; (2) the company registration number of the asset trustee
the outsourced service provider is the Stock Exchange or is a company of which more than fifty percent of the total paid-up capital is held by the Stock Exchange. Clause 14 A derivatives exchange shall
Newly Issued Securities and Application for Securitization Projects; (14) the terms “institutional investor,” “major investor,” “listed company,” “parent company,” “subsidiary,” “associate,” “person who
” means an affiliated company as prescribed by the Notification of the Capital Market Supervisory Board concerning Outsourcing Operational Function relating to Business Operation to a Third Party; “member
relating to Raising Capital of a Listed Company, mutatis mutandis, and [ii] the guidelines that the SEC Office has announced in detail to ensure clarity in practice (if any). In addition, the raising capital
investors to redeem investment units directly from the mutual fund management company, the intermediary may accept redemption orders outside its offices without complying with subclause (1)(a) and (b) of the