offering; (b) change in par value resulting in an increase or decrease in the amount of shares; (c) redemption of securities; (d) amalgamation, merger or takeover by making a tender offer; (e) distribution
an employee who is capable of giving information to clients on standby at an office of the intermediary where clients contact for the distribution thereof; (b) arranging a communication system which
the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and
company is allowed to advertise, except for the advertising made pursuant to Chapter 2 which must be approved by the Office prior to distribution. Clause 5. To advertise, in any cases, the securities
: ______________________________________ b) The investment objective/policy of the fund: ____________________________________________________________________ ____________________________________________________________________
________________________________________________________________________ Part B: Information on CIS Operator 10) Name of CIS Operator: _________________________________________________ 11) Home Jurisdiction of CIS Operator: _______________________________________ 12
business days prior to the date of submitting the final proceeds to the unitholders which shall include: (a) a statement of revenue and expenditure; (b) a statement of income and expense; (c) a statement of
: Category A investor contact referring to investor contact that is authorized to analyze securities investments, and Category B investor contact referring to investor contact that is unauthorized to analyze
following manners: (a) a spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person