rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
requirements: (a) accept trading orders of capital market products only at the intermediary’s temporary office; (b) require clients to send trading orders by themselves through an electronic system arranged by
by the management company to sell or accept redemption of units of mutual funds, as the case may be; “hedging” means becoming a counterparty in a derivative contract that possesses all of the following
having the rights to receive debt repayment from the issuer before common shareholders but after debenture holders; (7) perpetual bonds; (8) non-investment grade or unrated bonds; (9) structured debentures
worth investor”, “institutional investor” , “structured notes”, and “short-term bond ” shall have the same meanings as defined in the Notification of the Securities and Exchange Commission concerning
“structured note” shall have the same meanings as defined in the Notification on Investment of Funds; “Notification on Investment of Funds” means the Notification of the Capital Market Supervisory Board
structured notes to be offered for sale with the SEC and has a statement in the certificate that the issuer shall not accept transfer registration of structured notes that is inconsistent with a transfer
remuneration, tax penalty, and accounts receivable previously recorded as stock under consignment in 2011 and subsequently re-arranged to sale transactions in 2012. The SEC, therefore, has instructed TUCC to
Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a