issues the following regulations: Clause 1. The followings shall be repealed: (1) Notification of the Office of Securities and Exchange Commission Re: Qualifications of Mutual Fund Supervisors dated 18 May
and nature of the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The
Notification of the Securities and Exchange Commission Re: Rules and Period for Submitting a Report of the Securities Company, dated 18 May 1992, the Office of the Securities and Exchange Commission hereby
the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associated companies being operated or to be operated, as the case may be. In this
Statement.” - Include the following statement in the case of an offer for sale with green shoe option “The issuer or the existing shareholders (as the case may be) shall grant the purchasing right to the
specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.
specified in the notification of the SEC. In this regard, the SEC may also specify fees of service charges which the securities company may charge its customers for performing investment advisory service.
of other companies with a purpose to gain control in such companies rather than to invest for ordinary returns; (8) “Subsidiary company” means (a) Any company whose 75 percent or more of its total
Which May Constitute a Conflict of Interest in the Management of Mutual Funds in the part related to conclusion of transactions for property funds, mutatis mutandis ; (b) related party of a fund which
. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the general public as being ready to engage as an agent in the business of trading in derivatives