receive payment from the seller under the conditions specified in the contract. The buyer is required to pay a premium to the seller in exchange for such right to buy or sell. Options which grants the buyer
to types, characteristics, structures, goods or variable and conditions of the derivatives; (3) benefits or returns and profit or loss which the clients will receive from entering into derivatives
wishes to receive an evidence of the approval shall submit the requisition through the system provided on the website of the SEC Office. Clause 9 This Notification shall come into force as from 1 July 2014
of purchaser, representing the right of the holder of such instrument to receive money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus
complaint handling system in relation to securities business undertaken by the securities company, its employee or its agent; (2) receive a complaint in (1) from a customer and complaint from a customer
condition that the person giving advice does not receive a fee or a reward, either directly or indirectly, for such giving an opinion or sharing knowledge or experience, for example, not receiving a share of
institution having relationship as its parent company, subsidiary company, or associate company, the derivatives broker shall receive consent given in writing from the client prior to the foregoing process. The
mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return
to receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the
-conditions in respect of the closure of the branch office. Clause 7. In providing services, where there is a delegation of duties to a third party, a branch office shall receive prior permission from the