) “investor contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided into two categories: Category A Investor
: “foreign ETF” means collective investment scheme in the category of exchange- traded fund established under law of foreign jurisdiction; “home exchange” means exchange in foreign jurisdiction where units of
emissions, and those that remove and store greenhouse gases from the atmosphere. Examples include purchasing high quality, jurisdictional REDD+ carbon credits that support countries in raising the ambition on
delivery is made with borrowed securities; “Business operator” means a person licensed to undertake securities business in the category of securities borrowing and lending (SBL); “Central securities
Notification: “Short sale” means the selling of securities where delivery is made with borrowed securities; “Business operator” means a person licensed to undertake securities business in the category of
/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of Section 16 of the
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
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
hereunder: “intermediary” means a securities company or a derivatives intermediary. “fund management company” means a securities company licensed to undertake securities business in the category of mutual
: Determination of Paid-Up Registered Capital of Securities Company Licensed to Undertake Securities Business in the Category of Private Fund Management dated 18 September 2000. (2) The Notification of the