an intermediary under receivership by court order for the benefit of managing the clearing and settlement of derivatives or securities of clients , and for the management of clients’ assets having no
three business days from the date when a report on securities analysis has been disseminated to investors; (c) the period where there are outstanding securities trading orders of clients; (d) the period
holds shares more ten percent of the outstanding shares. No. Name Number of shares (thousand unit) Percentage of the outstanding shares (%) 1 2 3 4 Part 3: Purpose of submitting an application □ 3.1 For
held by a fund at an amount more than seventy five percent of its outstanding shares and representing more than seventy five percent of its total voting rights; (f)7 the debt instruments issued by the
) “prospectus” means a prospectus which is identical to a draft prospectus filed with the SEC Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing
may arise from such investment policy; (3) details on the management fee that the management company will receive for managing the private fund and mutual fund or trust. Clause 14 3 In seeking the
work for such persons to have full or partial managing power in the securities company.
or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund
” means a prospectus which is identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent