company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a
where securities are being traded for clients. Clause 8 In the case where a securities intermediary invests in shares to acquire proprietary assets in accordance with the rules prescribed in the
mutual fund; (7) certificates representing the rights to purchase shares; (8) certificates representing the rights to purchase debentures; (9) certificates representing the rights to purchase investment
implementation Details 1. To acquire assets or finance acquisitions of other business, related to the operation of the current business. - In case of asset acquisition: describe the types of assets and their
instruments or evidence representing the rights to the property of a mutual fund; (7) certificates representing the rights to purchase shares; (8) certificates representing the rights to purchase debentures; (9
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
) the circulation of prospectus for solicitation to buy securities. Clause 46 An intermediary who wishes to arrange for an advertisement shall manage the advertisement in the appropriate manner of content
company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and
circulation of prospectus for solicitation to buy securities. Clause 46 An intermediary who wishes to arrange for an advertisement shall manage the advertisement in the appropriate manner of content, proportion
during the course of business undertaking; (7) “ investor contact ” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment