notification of the Office. Clause 8. In offering investment units or contacting and soliciting any investor to purchase investment units of a mutual fund or to become a counterparty to a private fund management
contact ” means a person who performs duties in contacting, soliciting, giving advice or planning with respect to trading or investment in derivatives for investors. There are two categories of investor
contact” means a person who performs duties in contacting, soliciting, giving advice or planning with respect to trading or investment in derivatives for investors. There are two categories of investor
such juristic person; (8) “ client solicitation ” means soliciting clients for engaging in an agreement with a private fund management company by the way of providing investment plans for the clients as
juristic person; (8) “client solicitation” means soliciting clients for engaging in an agreement with a private fund management company by the way of providing investment plans for the clients as well; (9
transactions (churning) in the following manners: (1) refrain from soliciting or encouraging clients to enter into transactions more often than necessary; (2) refrain from entering into any transaction for a
, soliciting, giving advice and preparing investment plan or analyzing securities investment for investors, the investor contact shall not delegate other persons to act or perform duties on his behalf. Clause 11
(effective on 1 June 2017). 9 Clause 16/2 2 the approved person shall arrange the soliciting or the giving of depositary receipts trading or investment advice to be made through securities company which is
be prohibited from soliciting money, gifts, or favors from anyone with whom the CRA does business and should be prohibited from accepting gifts offered in the form of cash or cash equivalents or any