funds. Clause 39 In this Division, “principal” means the money each investor paid as the price of investment units of the principal protection mutual funds, excluding the fee for the purchase of
Re: Operations Relating to Lending of Money for Purchasing Securities and Lending of Securities to Non-Institutional Clients for Making Short Sale By virtue of Clause 5 of the Notification of the
guidelines for investor contacts; (c) Relevant laws such as anti-money laundering law, law governing commercial banking, etc. The Office will not determine attendance hours of the activities under 2.1 and 2.2
for investor contacts; (c) Relevant laws such as anti-money laundering law, law governing commercial banking, etc. The Office will not determine attendance hours of the activities under 2.1 and 2.2 so
December 2001 shall be repealed. Clause 2. In this notification: “Investor contact person” means a natural person who has been approved to be an investor contact person under the Notification of the
) “margin account” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “cash account” means an account
) “margin account” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “cash account” means an account
) June 12, 2018 Subject Increase of Registered Capital, Allocation and Offering of the Newly Issued Ordinary Shares to a Specific Investor (Private Placement), Application for Waiver from the Requirement
juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian. “Institutional investor” means: (1) Commercial
June 12, 2018 Subject Increase of Registered Capital, Allocation and Offering of the Newly Issued Ordinary Shares to a Specific Investor (Private Placement), Application for Waiver from the Requirement