Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013 , in conjunction with Clause 12(2) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re
media or objects. This does not include the information which is given in the prospectus or which is aimed to be educational or to provide facts without the intention to promote sales of investment units
approved by the Office if such person can operate as investor contact under the laws of such countries. The person approved by or registered with the registrar pursuant to the law on life insurance to be a
in contacting investors in each category the company is required to assign separate personnel to do the task. This causes inflexibility in providing services to investors and overlapping with respect
Securities Companies to Establish Branch Offices dated 24 August 2000 shall be repealed. Clause 3. In this Notification, “Securities company” means any company licensed to undertake securities business in the
less than five years. In the first two years, those information and documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification
list of asset that an investor would be able to exchange with ETF units according to the requirements of such ETF . “ exchanging in-kind ” means entering into the following transactions with a management
___________________________________________________________________ Remark : The rationale for issuing this Notification is to prescribe the rules for appointing or allowing director, manager or person with power of management of one securities company to be or
advertisement referred to in Clause 6(1) and (2) to be granted an approval from the Office, it shall comply with the following conditions: (1) must be an advertisement for any of the following funds: (a) a fund
undertake derivatives business in the category of derivative broker which is limited to only debt securities under the Notification of the Securities and Exchange Commission on granting of approval for