this Notification by the seventh day of the following month. In this regard, the securities companies which have duty to file the reports under (2) or (3) with the Office shall file such reports even
used its due care to determine the entering into this transaction. In this regards, to guarantee that STEC will perform its duty under the agreement (including duty to pay the remaining purchase price to
characteristics as specified; and (2) a person who is a director or a person with the controlling power of a juristic person with the duty of asset custody or protection of customers’ interest in securities
be; (3) the CIS operator shall deliver the information under sub-clauses (1) or (2) to the securities company within the same period as having duty to deliver to investors or submit to home regulator
Approval and Duty Performance of CIS Operator __________________ Clause 4 Unless specified otherwise in this Notification, in offering for sale of units of a collective investment scheme, the CIS operator
securities company , the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities company . Clause 5 The provisions in Clause 19
securities brokerage business undertaken by a securities company, the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities
sale of newly issued securities; (2) an issuing company which has the duty to prepare and submit financial statements and reports on its financial position and operating results to the SEC Office; (3) an
20% Corporate Income Tax, can be credited at 20/80. The Board of Directors had determined the date to list shareholders who are entitled to receive dividend on March 14, 2018. The dividend payment date