) dated 14 December 2016 . Clause 2 In this Notification: “ derivatives Broker ” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the
“ derivatives broker ” means a person licensed to undertake derivative business in the category of derivatives brokerage, excluding a commercial bank under the law on financial institution business; (2) “ net
…………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and supporting documents according to the
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
. Clause 2. In this notification hereto: (1) “derivatives broker” means any entity licensed to undertake derivatives business in the category of derivatives broker; (2) “manager” means any person who is
liabilities which may contribute to the securities company ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other
, borrowing, lending of securities or for the guarantee of purchase, sale, borrowing or lending of securities or for any other benefit, shall comply with the rules prescribed in this notification. The
person bound to make repayment under a financial instrument as an issuer, drawer, acceptor, giver of aval, endorser, or guarantor, as the case may be. “ unit of collective investment scheme ” mean a unit
services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge
securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 10. For an advertisement related to a promotion which provides investors who invest in