) loan for investment or improvement of property is permissible up to 35% of NAV or 60% of NAV, if gaining investment grade.Certain aspects of REIT regulations also share similarity with share offering
, permissible to be offered to institutional investors and high net worth investors, either directly or through intermediaries. Due to the instruments? characteristics of high risk and complexity, the investment
giving advice on trading derivatives contracts with underlyings of gold, precious metals, oil and foreign currencies, in a foreign market beyond the scope of permissible businesses granted to her employer
derivatives exchange or a derivatives clearing house which is a position or nature of work permissible to be performed provided that the job holder has no prohibited characteristics as specified. “personnel in
World Federation of Exchanges (WFE) or debt instrument having organized secondary market; (3) having policy to invest in the similar assets as those permissible to invest in or to have in possession by
strictly cautious and accountable for their own action. However, forward looking statements based on actual, not distorted facts available at the time, is permissible even though the outcomes afterward turn
, the SEC allows issuer and intermediary to offer for sale of complex or high risk financial instruments to AI. However, certain products permissible for AI are allowed to offer to retail investors
investors do not realize that it is not permissible for investment consultant, with or without authorization from investors, to make decision in securities and/or derivatives trading on behalf of them
the public prosecutor to file a civil lawsuit against these 11 persons to the Civil Court to impose a civil monetary penalty at the maximum rate permissible under the law. Accordingly, the SEC will
such transaction. Clause 13 3 Appointing a custodian who is a connected person of a private fund management company is permissible only upon written consent of the client or the provident fund committee