of purchaser, representing the right of the holder of such instrument to receive money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus
have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory
” means any person who is authorized by the derivatives fund manager to make an investment decision to acquire benefits from derivatives for others; “Association” means any derivatives fund management
mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return
receive the return as advertised” or “in case the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, the management company may not accept redemption of
concession right to operate an infrastructure business; (c) the right to receive the future income or the right under the income sharing agreement that will be generated by an infrastructure business or will
business and being unrevealed to public, acknowledged by the intermediary , or its directors, executives or other personnel; (3) receiving or being going to receive reward or other benefit, whether in form
for clients; (b) providing information regarding capital market products or services for the assigned personnel under (a) to study and acquire the understanding of the details thereof before presenting
implementation Details 1. To acquire assets or finance acquisitions of other business, related to the operation of the current business. - In case of asset acquisition: describe the types of assets and their
) receiving or being going to receive reward or other benefit, whether in form of monies, goods or services, from any person other than standard commission or fee for its services; (4) receiving or being going