plans for the clients as well; (9) “ financial institution ” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution
the clients as well; (9) “financial institution” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution business 1 ; 1
cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a
positions in such management company except where such positions are under the vertical line of command or do not cause any conflicts of interest with the management of mutual funds; (2) Having attained the
well; (9) “ financial institution ” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution business ; (b) financial
) “financial institution” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution business 1 ; 1 law on financial institution
acquisition or disposition of assets having significant value for listed companies. However, such transaction comes under the scope of connected transactions for listed companies with the transaction value of
particular financial service provider/ intermediary. 4. Owning investment holdings • Explain the key information in an investment account statement or transaction confirmation document. • Identify the impact