securities brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “ agent ” means a person who is appointed by a securities
brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “agent” means a person who is appointed by a securities company as its
brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “agent” means a person who is appointed by a securities company as its
Rules on Appointment of a Third Party as a Service Provider on Behalf of an Intermediary or as a Marketing Agent of a Derivatives Fund Manager
Credit Rating Agencies Approved to Issue Credit Rating for Instruments Subject to Rules Concerning Issuance and Offer for Sale and Investment of Funds
Credit Rating Agencies Approved to Issue Credit Rating for Instruments Subject to Rules Concerning Issuance and Offer for Sale and Investment of Funds
Notification: (1) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
Notification: (1) “representative” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
Notification: (1) “representative” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management company is a private