Approval on Establishment of a New Limited Company or Public Limited Company to Undertake Securities Business in the Category of Private Fund Management Report/Form (Notification of Securities and Exchange
, management company shall submit an application for an approval to amend mutual fund management scheme to the Office, or performing to amend private fund agreement, as the case may be, to comply with the
perform as following: (1) In the case of close-end fund or private fund, management company shall submit an application for an approval to amend mutual fund management scheme to the Office, or performing to
transaction just in case of obtaining an approval from mutual fund supervisor in written before executed each transaction. Clause 17. Affiliated transaction for private fund as following shall have a consent in
including the institutional investors. Chapter 2 Deemed Approval of the Offer for Sale in a Private Placement ____________________ Clause 23 The Company applying for the approval to offer for sale of
Trading plans without being regarded as carrying out the securities business of private fund management or derivatives fund management, respectively. These rules have been in effect from 16 May 2019
markets, business sector and people. Throughout this year, there will be the regulatory revisions to lessen burden of the private sector. These include reduction of procedures and implementation
marketing representative of private fund , a private fund management company shall appoint a person who has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market
person to be a marketing representative of private fund, the private fund management company shall appoint a juristic person having obtained an approval from the SEC Office pursuant to the Notification of