come into force on the day following the date of its publication in the Government Gazette. SECTION 3 In this Act: “trust” means legal relationship arising from a trust instrument. “trust instrument
: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that foreign ETF is legally
custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner
accordance with the second paragraph shall be completed within three months from the end of each accounting period. For each financial year, such preparation shall be completed within twenty-one days from the
outbound product which is a debt instrument approved to be offered for sale in a debt issuance program by the regulator under (2) for each specific investor (tailor-made product); (c) any case other than (a
an outbound product which is a debt instrument approved to be offered for sale in a debt issuance program by the regulators under (2) for each specific investor (tailor-made product); (c) any case
prospectus or other information related to an offer for sale of securities , and submit a fact sheet of the financial instrument as required to be done by the issuer in accordance with the Notification of the
means the following securities: (1) the investment unit specified under the Law on Securities and Exchange ; (2) a financial instrument or certificate representing the right of the holder as the owner or
the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board
consultant providing consultation only on capital market product not having complex characteristics ; (2) complex instrument investment consultant means an investment consultant providing consultation on