Executives of Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means

characteristic as specified in the Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel and such person is no longer fit to perform the duties of

) dealing in securities as specified in (3); (3) underwriting of securities as specified in (3). “applicant” means person applying for securities business license under this Ministerial Regulation

information disclosure to investors. It is thus deemed appropriate that the notification relating to establishment and management of funds as specified in the Notification of the Securities and Exchange

disclosure to investors. It is thus deemed appropriate that the notification relating to establishment and management of funds as specified in the Notification of the Securities and Exchange Commission No

Company Relating to the Using of Back Office Service From Service Provider dated 23 July 2003 shall be repealed. Clause 2. In this Notification: “Securities company” means a company licensed to undertake

Office Service From Service Provider dated 23 July 2003 shall be repealed. Clause 2. In this Notification: “Securities company” means a company licensed to undertake securities business in the category of

Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling

: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund

2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions