private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person assigned by such
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
_____________ Clause 11 An applicant who will obtain approval to be REIT manager shall demonstrate that it has ability to manage the REIT, being assigned by REIT trustee, efficiently and provide measure for
, top management, management and employees are appropriately defined and assigned. 4. The organization demonstrates its commitment to attract, develop and retain competent individuals in alignment with
administrative panel or the SEC, as the case may be, for commencing the administrative proceedings under this Chapter. 3 Clause 7.1 The department in charge as assigned by the SEC Office to perform operational
intermediary shall determine the policy, in writing, pertaining to preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such
determine the policy, in writing, pertaining to preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such policy, and shall