: “intermediary” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
derivatives, or in trading derivatives with a person licensed to undertake derivatives business in the category of derivatives dealer, shall not deem to be a derivatives dealer. Clause 2. This Notification
for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures
. Operators of derivatives business wishing to apply for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business
derivatives and structured notes. The revisions include expanding underlying assets of derivatives and SN to cover all investible assets as well as revising SN definition and underlying assets in the category
statements of securities companies in the category of Non-public Accountable Entities (NPAEs); and ?4.? To report financial transactions related to agricultural derivatives business more appropriately.? The
comparison indicating maximum, minimum and average returns among mutual funds in the same category and will thus serve as useful information for making investment decision. The proposed rules classify mutual
Re: Determination of Characteristics of Services Not Deemed to Be Undertaking Digital Asset Business in the Category of Digital Asset Custodial Wallet Provider (No. 2) dated 14 December 2023: (https