responsibility in the line of work relating to capital markets according to Clause 7; (3) a person to be appointed shall not be a director, executive, or employee for another company which undertakes business
(effective on 1 January 2018). 2 “association” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval
relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for
assistant manager, a division director, a branch manager, and any persons holding equivalent position called otherwise and such person shall be responsible for services relating to derivatives contract
responsible for services relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function
Market Supervisory Board relating to the Offering of Units of Infrastructure Trusts; (4) the trustee or the registrar shall prepare a document representing the rights in the units to give to the unit
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
) “ analysis of securities investment ” means an analysis of data relating to securities , for the purpose of giving advice or publishing , whether directly or indirectly, on the value of securities or
” means an analysis of data relating to securities, for the purpose of giving advice or publishing, whether directly or indirectly, on the value of securities or suitability of investment relating to such