regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units
insurance company have signed a contract of life insurance and a contract of investment in investment units with an agreement that the insured shall pay premium to the life insurance company for protection
return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of
advertisement referred to in Clause 6(1) and (2) to be granted an approval from the Office, it shall comply with the following conditions: (1) must be an advertisement for any of the following funds: (a) a fund
per the form and procedures provided in the Office’s electronic work system together with documents evidence or a reference of course attendance under (1); (3) pay the renewal fee for approval to be
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
system or readiness of personnel as specified in Clause 12 (3), as the case may be, or not able to act in compliance with rules prescribed herein for every day during which the operation of such branch
authorized to make decisions on company’s business operation on behalf of the board of directors; (5) “Department director” means any person who is responsible for the internal operation of a department in the
settlement for securities. Clause 5. The securities company licensed to undertake securities business in the category of private fund management shall have paid-up registered capital of not less than the
permits by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1. The person granted a license to undertake derivatives business in the category of