Securities and Exchange Commission Re: Determination of Additional Determination of Types of Juristic Person Classified as Institutional Investor; (3) derivatives fund managers; and (4) derivatives advisors
types of securities businesses throughout any calendar year, the licensee shall pay only the minimum fee as specified under Paragraph 1, except that the licensees in the category of debt securities dealer
the written agreement made with the customer. Such agreement shall, at least, specify the types of investable assets and investment restrictions. Clause 9. The business operator shall, except otherwise
made with the customer. Such agreement shall, at least, specify the types of investable assets and investment restrictions. Clause 9. The business operator shall, except otherwise specified in the second
only in the assets specified in the written agreement made with the customer. Such agreement shall, at least, specify the types of investable assets and investment restrictions. Clause 9. The business
between return from investment in the fund and other investments shall incorporate material information which enables the investors to understand the differences among various types of investment. Clause 14
incorporate material information which enables the investors to understand the differences among various types of investment. Clause 14. The advertisement related to ranking or awards received by the securities
the difference between return from investment in the fund and other investments shall incorporate material information which enables the investors to understand the differences among various types of