perform duties similar to the category A investor contact from a regulatory organization of the countries accepted by the Office. - - ( 1 Relevant work experiences mean experiences related to securities and
) dated 14 December 2016 . Clause 2 In this Notification: “ derivatives Broker ” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the
of Derivative Services by Securities Companies. Division 2 Additional Rules for Securities Intermediaries in the Category of Mutual Fund Management or Private Fund Management _______________________
. In this Notification: “Mutual Fund Management Company” means a securities company licensed to undertake securities business in the category of mutual fund management; “Private Fund Management Company
management company which accepts the redemption of investment units; (4) “management company” means a securities company licensed to undertake securities business in the category of mutual fund management; (5
. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “ securities company ” means a securities company licensed to undertake securities business in the category of
capital ” means liquid assets deducted by total liabilities ; “ liquid asset ” mean the total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase
August 2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “ derivatives broker ” means any person licensed to undertake derivatives business in the category of
under the law on securities and exchange . “ foreign ETF ” means a collective investment scheme in the category of exchange-traded fund either in form of company or trust under foreign law. “ short
mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on