products or services before clients make an investment decision or use the services, including the information related to any material event that may affect each type of capital market products or services
from the date on which the claimant knows or should have known of the cause of such dispute and not more than one year from the date on which the dispute occurred except where the Office deems it
2000 shall be repealed.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
public and the securities known by its business operation; “investor contact” means a person who contact, solicit, giving advice or prepare an investment plan to the investor or to client of securities
trustee is completely vested with the trust property. SECTION 28 The new trustee shall notify in writing to the third person known to the new trustee as the party in the agreement made with the former
, is obliged to make payment for such goods at a price specified therein; (2) a contract in which one party is obliged to make payment to the other party, or vice versa , in the amount which is
necessary to determine the implementation or to make clarification, the intermediary shall operate its business, or implement or clarify such requirement according to the principles of the Notification of
Provisions ________________________ Clause 10 In cases where an intermediary is required to make an agreement with a client before providing services, whether in the form of an application to open a trading
two-thirds of all committee members and shall be in effect upon approval of the Minister. The Selection Committee shall make the rule so prescribed under this Section available for public access
) “ insider information ” means a material fact which would affect the price of a securities and has not been disclosed to the public, and has become known to a securities company during the course of the