to certain unit holders shall not be opposed by any unit holders holding more than 10 percent of the total voting rights of the unit holders present at the meeting and eligible to vote; (b) the
of which a client may make a short sale in a margin account, at any time, including a brokerage fee; 5“capital fund” means the total value of: (1) shareholders’ equity according to the Financial Status
each derivatives contract immediately upon execution of trading orders, and the guarantee obligation shall end after the derivatives clearing house becomes bound or replace itself as a counterparty. The
by a company having all of the following characteristics: 1. investing in the assets under (a) (b) (c) or (d) collectively not less than seventy five percent of the company’s total asset value or
shares issued by a company having all of the following characteristics: 1. investing in the assets under (a) (b) (c) or (d) collectively not less than seventy five percent of the company’s total asset
confidence among investors. Guidelines 1. Accepting of purchase or redemption order of investment units by a management company 1.1 There should be a procedure for account opening and entering into a contract
by a management company 1.1 There should be a procedure for account opening and entering into a contract with a client. Such procedure should have adequate process to identify and verify client’s true
client before providing services, whether in the form of an application to open a trading account, a contract or any other agreement, in accordance with Clause 44 of the Notification on Standard Conduct of
cases where an intermediary is required to make an agreement with a client before providing services, whether in the form of an application to open a trading account, a contract or any other agreement, in