; “Private fund management company” means any securities company licensed to undertake securities business in the category of private fund management; “Fund manager” means any natural person who is authorized
person appointed by the management company to act as a mutual fund manager and it appears later that the information specified in Form 117-6 has changed, the management company shall prepare and submit a
application as per Form 117-6 attached to this Notification together with related documents. In the event that after the Office has granted an approval for such person appointed by the management company to act
dated 4 June 2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “executive” means a manager or an authorized management person; (2) “manager” means a person
to be open on different hours or close on different days. Therefore, in order to clarify rules on granting permission to a management company to establish a branch office together with serving
of prospectus or other information in which the management company must disclose to investor; (5) other necessary duties as prescribed by the Office. The management company shall appoint a person
manager and at a minimum there shall be a responsible person in the function relating to the management of the properties of the trust and there shall be at least two persons who are qualified as follows
trading or management in deceitful, fraudulent or dishonest manners; (4) being prohibited from acting or performing duties as a director, manager, a person with the management power, or an advisor of a
by default in related bonds, including subordinated perpetual bonds, and bonds issued by a company undergoing rehabilitation. ** Ultra-high net worth investors are: (1) A juristic person having