conditions. "mutual fund management" means the management of investments under a mutual fund project by issuing investment units of each project for sale to the public and bringing proceeds therefrom to invest
consent in writing. Clause 7. Derivatives broker may deposit customer’s cash with commercial bank or other bank established under the specific law, or invest in promissory notes issued by finance company or
) including any relevant notifications and circulars issued or prescribing any practices by virtue of the said law. “Institutional investor” means any of the following persons who may duly invest in derivatives
investment units, a securities intermediary in the category of mutual fund management may invest in the units of mutual funds under management of the intermediary only upon compliance with any of the following
which the customer shall be aware of and familiar with in respect to derivatives fund management. Clause 6. The derivatives fund manager as the person entrusted to manage the customer’s funds shall invest
management company appointed to have authority to invest for the fund; “Underwriter” means any securities company licensed to undertake securities business in the category of securities underwriting
in order to stimulate or reward the client to immediately [i] use offered services or [ii] invest in capital market products presented by the intermediary . “ institutional investor ” means an
offeror of such outbound product : (1) organizing a roadshow for the general investors to meet directors or executives of the issuer or the offeror of the outbound product to solicit the investors to invest
invest in the outbound product which has not been listed or approved for trading on a foreign securities exchange or a foreign futures exchange, provided that such solicitation shall constitutes a public
derivatives broker may invest or deposit a client's cash if complying with the following rules: (1) depositing with a commercial bank or other banks established under specific law or investing in certificates