name of the investment consultant. ● Name of Securities/derivatives intermediary or the employer of the unit seller such as commercial bank. ● Details of the behavior causing the complaint
Attorney form in case of authorizing another person to file complaint; 3. Details of the person against whom the complaint is filed, i.e., full name, mailing address, phone number of intermediary / listed
unitholders. (a) Decreasing minimum subscription (b) Increasing in channel of selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing
unitholders. (a) Decreasing minimum subscription (b) Increasing in channel of selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing
must be clearly specified in order to avoid any doubt whether internal information is used to the benefit of the executives. The program must be administered by an intermediary, such as a securities
you are a client of a securities or derivatives intermediary who, as a disputant, agrees to be bound by the arbitrator’s decision, a dispute may be settled through arbitration. 2 Listed company means a
securities or other assets as payment in lieu of cash. The conditions and procedures must be clearly specified in the scheme. (4.3) Retirement fund (RMF) shall be an open-end fund only. (5) Increasing the
securities or other assets as payment in lieu of cash. The conditions and procedures must be clearly specified in the scheme. (4.3) Retirement fund (RMF) shall be an open-end fund only. (5) Increasing the
Associated Person hold investment units over one-third of the units outstanding, directly or indirectly, possibly from causes such as increasing investments, obtaining a waiver as an eligible case specified
Associated Person hold investment units over one-third of the units outstanding, directly or indirectly, possibly from causes such as increasing investments, obtaining a waiver as an eligible case specified