company as its representative in accordance with Section 100, with the SEC Office’s approval. Clause 2 A securities company shall proceed with a customer complaint as follows: (1) manage to have a customer
and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer
in the category of derivatives fund manager; “Customer” means any person who authorizes the derivatives fund manager to provide the services of derivatives fund management for them; “Investment manager
marketing representative of private funds; “Customer solicitation” means soliciting of customer to enter into an agreement with a private fund management company by preparing investment plans for such
opinion; “collateral” means a collateral for compensation of damage to a customer arising from incorrect or incomplete performance of duties of the investment advisory company, i.e. : (a) insurance policy
” means derivatives exchange licensed from the SEC. (5) “derivatives regulatory association” means association approved by the SEC to be derivatives regulatory association. (6) “customer contact person for
. SEC.Khor.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the
, crude oil, or any other property as specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index
regarding complaint handling and entering into the Office’s arbitration process for the settlement of dispute between the securities company and the customer. In the case where the securities company lacks of
Clause 7. Clause 3. The derivatives brokers shall establish branch office only after obtain an approval from the Office according to rules prescribed herein. Chapter 1 Full-service Branch Office and Online