, investors should contact the compliance unit without delay._______________________ Notes: * Pursuant to Clause 23(2) and Clause 23(1) and the prohibited characteristics of personnel in the capital market
. • Consider investments in which the features, fees and risks can be explained by the individual. • Set investment objectives for each investment. • Reassess the individual’s risk tolerance level when factors
Determining Proportion of Directors of Derivatives Exchange and Prohibited Characteristics of Directors of Derivatives Exchange and Derivatives Clearing House
- Applicable to the offering of bills and bonds. - For the offering of bonds, the approval will be granted upon the registration of the transfer restriction, features of bonds, draft terms and conditions and a
have a written authorization from investors only.__________________Notes:* Pursuant to Clause 23(2) and the prohibited characteristics of personnel in the capital market business under Clause 31(1
operators in foreign jurisdictions/countries with their personnel giving investment advice. Under the governing rules and procedures, foreign business operators, having the prescribed characteristics and
; 3. T he investment policy shall not be specified with the features of a feeder fund under the Notification on Investment; 4. The mutual fund shall not have the policy to invest in derivatives or
; 3. T he investment policy shall not be specified with the features of a feeder fund under the Notification on Investment; 4. The mutual fund shall not have the policy to invest in derivatives or
approval rules - Applicable to the offering of bonds only. - For the offering of bonds, the approval will be granted upon the registration of the transfer restriction, features of bonds, draft terms and
Qualifications and approval rules - Applicable to the offering of b onds only. - For the offering of bonds, the approval will be granted upon the registration of the transfer restriction, features of bonds, draft