mutual fund so that such mutual fund obtains benefits in such a manner that does not comply with the fair allocation principle; and (5) a person to whom an offeror of newly issued securities is not allowed
fund obtains benefits in such a manner that does not comply with the fair allocation principle; and (5) a person to whom an offeror of newly issued securities is not allowed to allocate securities under
date of such bonds. Clause 12 In order to appoint or assign any person to perform duties under Clause 4, an intermediary shall comply with the following rules, as the case may be: (1) for appointing or
of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply
of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply effectively with
(No other acquisition transaction per 2 the base of net operating profit during the past 6 months). Therefore, NDR needs to comply with Backdoor listing process as the size of transaction exceeds 100
% computed from the latest financial statement ended September 30, 2017 (No other acquisition transaction per 2 the base of net operating profit during the past 6 months). Therefore, NDR needs to comply with
less than 100%). Therefore, the Company is required to comply with the Acquisition and Disposal Rule as follows: (1) To immediately prepare report and disclose the information memorandum of such
Department Director-General has the authority to order violators or non-compliant parties to comply with the law within the established timeframe. If they fail 3 to do so, they will be subject to