Notification shall be applicable to derivatives brokerage who executes derivatives trading on behalf of a client in derivatives exchange. Clause 2/1 For the purpose of initial and maintenance margin requirements
” means a manager of the branch office or a person responsible for the operation of a branch office; “ fund manager ” means a mutual fund manager or a private fund manager who performs the duty of making
fund manager who performs the duty of making decisions on investment in or disposing of securities or any other asset except real estate, leasehold interest in property or seeking benefits by other
). However, such exemption shall apply to only one applicant for each management company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant
during the course of business undertaking; (7) “ investor contact ” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment
of such other business operation; (2) name, address, curriculum vitae, experience and identification number of the person who performs the duty of giving advice to the customer; (3) statements
company’s business operation; (8) “ investor contact ” means a person who performs the duties of communicating, soliciting, giving advice, or investment planning for investors or clients of securities
selling agent of unit-linked life insurance policy shall be investor contact who performs duty of selling unit-linked life insurance policy approved by the Office Chapter 2 Renewal for Approval
contact ” means a person who performs duties in contacting, soliciting, giving advice or planning with respect to trading or investment in derivatives for investors. There are two categories of investor
case the securities underwriter performs duty as market maker for an ETF fund, providing that such securities underwriter has put in place a system for prevention of conflicts of interest under the