or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other
broker or an agent to effectuate trading in debt securities between dealers in normal course of business, the service of which is carried out by collecting information on offer for sale or purchase of such
broker means a person who provides services or holds itself out to the public as available to provide services as a broker or an agent for any person with respect to the trading or exchange of digital
broker means a person who provides services or holds itself out to the public as available to provide services as a broker or an agent for any person with respect to the trading or exchange of digital
Derivatives Agent о Guidelineon the commencement for operation of securities / derivatives business • Dealer о Securities Dealer о Derivatives Dealer • Advisor о
the aforesaid persons who hold a position or is in the line of work involved in the performance of duties related to such inside information; (4) Director, sub-committee member, representative of a
the aforesaid persons who hold a position or is in the line of work involved in the performance of duties related to such inside information; (4) Director, sub-committee member, representative of a
whether such service provider is borrower's or lender's counter party of agent. Undertaking securities borrowing and lending business under the first paragraph shall, however, not include the followings
selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name
selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name