person appointed by the management company to act as a mutual fund manager and it appears later that the information specified in Form 117-6 has changed, the management company shall prepare and submit a

expiry date of registration. Clause 6. In performing duties of fund supervisor relating to the custody of mutual funds’ assets, a registered person shall operate as prescribed by the Notification of the

knowledge based on the guidelines and other relevant practices as follows: 1. Participation in activities accepted by the Office 1. Form of activities The Office prescribes the form of activity in which the

, derivatives contracts or other assets, execute a short sale, create any obligation or seek interest or benefit by other means, as the case may be, in accordance with the investment policy, objectives of the

securities business in the category of the securities brokerage, securities dealing, securities underwriting, securities borrowing and lending or securities finance business; “Service provider” means a person

of the securities companies dated 30 May 2000, shall be repealed. Clause 2. In this Notification, “major shareholder” means a person who holds shares, notwithstanding directly or indirectly, exceeding

suspension in undertaking derivatives business as a derivatives dealer by the regulator of its home country . Clause 5. The juristic person under Clause 2 that wishes to register as a derivatives business

) “Department director” means any person who is responsible for the internal operation of a department in the company; (6) “Work experience” means work experience in a financial institution or other organization

: Clause 1. In this Notification: “Custodian agent” means the person whom the custodian appoints to be its agent in performing the duties relating to custody the assets of private fund; “Office” means the

derivatives, or in trading derivatives with a person licensed to undertake derivatives business in the category of derivatives dealer, shall not deem to be a derivatives dealer. Clause 2. This Notification