, dealing or underwriting of investment units. “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and
) “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and develop securities business in the category of
Approval to Foreign Auditors (No.2) dated 10 July 2015. 4 (1) being a qualified auditor, by foreign laws or regulations, to audit the financial statements of a company whose securities are traded on the main
passive management. These shall include ETFs whose investment policy aims to generate returns for investors according to the price movement of physical gold bars (Gold ETF) or through investment units of
directly or indirectly, through other infrastructure business operators; (b) being an infrastructure business whose operation generates benefits to the general public indirectly in the areas of health
function under Clause 8 to the following third party without submitting an application for obtaining the approval under Clause 12: (1) a financial institution, or the intermediary ’s affiliated company whose
the approval under Clause 12: (1) a financial institution, or the intermediary’s affiliated company whose business is financial business, which is under supervision of any one of the following entities
following regulatory agencies which is located in a country whose supervisory measures on investment management are recognized by the SEC Office: (a) a regulatory agency which is a member of the International
following regulatory agencies which is located in a country whose supervisory measures on investment management are recognized by the SEC Office: 7 (a) a regulatory agency which is a member of the