: “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ affiliated
securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ client ” means a person who uses
inter-dealer brokerage company, and registered derivatives intermediary; “ intermediary’s board of directors ” means the board of directors of an or a committee assigned by the board of directors of an
International Finance Corporation (IFC) Inter-American Development Bank (IADB) African Development Bank (AfDB) Asian Development Bank (AsDB) Caribbean Development Bank (CDB) Nordic Investment Bank (NIB)
Clause 6 In this Notification: “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered
Notification of the Securities and Exchange Commission concerning Exemption from the Provisions on Public Offering for Unit Offering of Foreign Collective Investment Schemes ; “ intermediary ” means: (1) a
concerning Rules on Offering for Sale of Units of Foreign Collective Investment Schemes ; “ intermediary ” means: (1) a securities company licensed to undertake the securities business in the category of
brokerage; (8) derivatives advisory providing investment planning to clients or using software programs in providing services to clients; (9) derivatives manager; In the case that an intermediary under the
according to the definition by the National Institute of Standards and Technology (NIST); “ outsourcee ” means the external parties engaged by the intermediary in the operation on an ongoing basis and must