other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification
assets to another business or changing the financial instrument with the financial instrument of other business subjected to condition causing a loss to the business. 18. Provision means uncertain
securities; (5) “Investor” means any person who is interested in investing in securities and shall also means any client of securities companies in securities businesses; (6) “Securities company” means any
proposed to its client or investor who is interested in the products, at least according to Clause 42. In this regard, such information shall not be distorted and misled; (4) distribute prospectus or
investment; “Investor” means any person who is interested in investing in securities and shall also means any client of securities businesses of securities companies; “Securities company” means any company
brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction
assessing suitability as prescribed in Clause 33 and Clause 34; (3) disclose sufficient information relating to capital market products proposed to its client or investor who is interested in the products, at
of mutual fund or private fund management, or derivatives investment management company. “ fund ” means mutual fund and private fund. “ investor ” means any person interested in investing in capital
category of mutual fund or private fund management, or derivatives investment management company; “ fund ” means mutual fund and private fund; “ investor ” means any person interested in investing in capital
case may be. SECTION 29 In cases where there is a cause of alteration of trustee but the appointment of a new trustee cannot be proceeded due to an inevitable cause, an interested party may file a motion