Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities
to comply with professional conducts and standards. Such regulates persons are as follows: - Financial Advisor and its supervisor - Auditor - Valuation Company and Principal Valuers - Credit Rating
company. Clause 2. A securities company may appoint or allow another securities company’s executive to be or perform duty as its executive or advisor upon being granted approval from the Office on condition
be or perform duty as its executive or advisor upon being granted approval from the Office on condition that the securities company is able to demonstrate establishment of the organizational structure
Auditor /2 - - - - 1 - Financial advisor - - - - - - Supervisor of financial advisor - 1 - - - - Valuation Company - - - - - - Principal Valuer - - - - - - Grand Total 0 7 12 0 5 10 /3 In 2020, there were 2
Fund; “Advisor” means any person who giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The
Management of Property Fund and Loan Fund; “Advisor” means any person who giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund
. To measure the transaction value the method used is book value of net tangible asset (NTA) and the value is 70.24% of the total asset. Over the past 6 months, UU has signed the agreement to sell water
party serving as the trust manager under the trust instrument; “financial advisor” means a financial advisor in the list approved by the SEC Office; “registration statement” means the registration
decisions. We measure value through a certainty-equivalent utility-adjusted retirement income metric. Gamma will vary for different types of investors and for different strategies; however in this paper we