Sei sulla pagina 1di 1

Method of communication for financial securities

1. Person(s) involved:
a. Dealer
b. Fund manager
c. Investment adviser
d. Dealers representative
e. Fund managers representative
f. Investment adviser

2. Actions to be taken:
a. With respect to securities or a class of securities:
i.
That person must send circulars or letter of recommendation,
express or implied.

3. First mentioned person should:


a. Provide a concise statement regarding:
i.
The nature of any relevant interest or interest in the
acquisition; or
ii.

The disposal of the securities or securities included in that


class that he or person associated with him has at the
date on which the first mentioned person last sends the
circular or other communication.

Potrebbero piacerti anche