as securities business operator in the category of mutual fund or private fund management or under custody of a securities company in its position as fund supervisor or custodian; (2) a financial
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
, investor contact will be able to take only the test specific to such product. The test offers 4 sections which are equity instrument, debt instrument, mutual fund and derivatives. Titles of ?Category A
) Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 Settlement Committee Meeting No. 10/2017
for sale newly issued securities in the category of debentures without having obtained an approval form the SEC Office. SEC Act S.300 Settlement Committee Meeting No. 10/2017 Settlement Committee
securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting No. 1/2018 Settlement Committee Order
., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting No