Securities and Exchange Commission concerning Exemption from the Provisions on Public Offering for Unit Offering of Foreign Collective Investment Schemes; “intermediary” means: (1) a securities company
brokerage; (8) derivatives advisory providing investment planning to clients or using software programs in providing services to clients; (9) derivatives manager; In the case that an intermediary under the
concerning Rules on Offering for Sale of Units of Foreign Collective Investment Schemes ; “ intermediary ” means: (1) a securities company licensed to undertake the securities business in the category of
Offering for Sale of Units of Foreign Collective Investment Schemes; “intermediary” means: (1) a securities company licensed to undertake the securities business in the category of securities brokerage
Capital Adequacy of Some Specific Intermediaries (No. 2 ) dated 20 February 2017. Clause 2 In this Notification: “ intermediary ” means an intermediar y engaging in the business of investment advisory
, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018; “intermediary” means a securities company or derivatives intermediary, excluding venture
receive necessary and useful information for using the intermediary?s service or for making a decision of investment in foreign mutual fund. SEC Act S.113 Settlement Committee Meeting No. 3/2020