Company Relating to the Using of Back Office Service From Service Provider dated 23 July 2003 shall be repealed. Clause 2. In this Notification: “Securities company” means a company licensed to undertake
Securities and Exchange Commission No. SorThor/Nor. 19/2543 Re: Prescribing factors in considering the seriousness of behavior as a prohibited characteristics of persons who are or will be major shareholders
a derivatives business operator in the category of derivatives broker or derivatives dealer; (2) “SEC Office” means the Office of the Securities and Exchange Commission. Clause 2 . An applicant for
2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions
Office of the Securities and Exchange Commission. Clause 2. In the case where an applicant for an approval to be a custodian desires to appoint any person as its custodian agent, such applicant shall
derivatives, or in trading derivatives with a person licensed to undertake derivatives business in the category of derivatives dealer, shall not deem to be a derivatives dealer. Clause 2. This Notification
invests in or holds shares of any companies as assets of a mutual fund, it shall exercise the shareholder’s voting rights on behalf of the mutual fund in accordance with the following rules: (1) Arrange to
Licensed Businesses, dated 30 December 2003, was published in the Government Gazette on 31 December 2003, Volume 120, Special Section 152Ngor. The Notification of the Securities and Exchange Commission No
provisions within six months from the effective date of this Notification, as the case may be. Clause 21. In the event that any pool of assets which was registered as a mutual fund with the Office prior to the
therein being that such person shall be registered as a qualified fund supervisor – for the benefit in considering the registration of such qualified fund supervisor, the Office of the Securities and