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
Company Relating to the Using of Back Office Service From Service Provider dated 23 July 2003 shall be repealed.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
a negligence of reasonable performance of duty in supervising persons under the line of command to refrain from violating or failing to comply with the laws governing securities and exchange or the
for management of investments in derivatives; “Office” means The Office of the Securities and Exchange Commission. Clause 2. To ensure that each derivatives fund manager shall conduct its business as a
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
effect from the behavior of prohibited characteristics such as impact to money market or capital market, the public in general or a specific group of people, etc.; (b) the significance of the behavior of
business, securities business, and credit foncier business; (3) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not
. Several claimants sharing a like claim against the respondent on the common grounds of laws and facts against the respondent may jointly file the dispute to the Office, provided that each claimant seeks
this Notification: “Fee” means fee for the operation of a licensed business. “Income” means income derived from the operation of a licensed business. “Office” means the Office of the Securities and
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