procedures, for example, the property funds will be allowed to own real estate or lease-hold for less than one year. Furthermore, restriction on unitholding in the Type 1 property fund will be temporarily
that those personnel must be equipped with knowledge, capability and approved by the SEC. The business operators must apply necessary assessment procedures to ensure that their investment consultants
, in accordance with the rules and procedures specified in the terms and conditions; (3) Approving related actions concerning the bond series, with details as follows: - Granting an
Asset Management Co., Ltd. failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by failing to invest in debt instruments of which
: Clause 1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
guidelines specified for implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification
this notification and its guidelines specified for implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails
redeem before date of maturity. Clause 8. Derivatives broker shall monitor and supervise to ensure that its personnel perform in accordance with this notification and its guidelines specified for
/2015 16/05/2015 8. Notification of the Office of the Securities and Exchange Commission 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business (Codefied) 08/03/2006 16/04