Re: Guidelines Relating to Operating Systems of Fund Management Business
private funds, or investment advisors, which are fully qualified and ready to provide services, may apply for SEC’s approval to become the wealth advisor. There are currently over 40 operators interested
. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the
Re: Operating System Relating to the Undertaking of Fund Management Business
e-service Online Submission See canceled document Derivatives Advisors >> Activities not deem to be classified as operating securities business Type Title Section See Document Status Notified Date
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derivatives investment advisors. ✓ ✓ ✓ ✓ Company profiles and reports on wealth advice service (annually). ✓ 1. Data relating to operating systems and actions with intermediaries; 2. Appraisal companies
e-service Online Submission See canceled document Derivatives Advisors >> Capital Adequacy Requirements Type Title Section See Document Status Notified Date Effective Date 1. Notification of the
Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries