market product analysis, investment management, or managing branches of an applicant; (c) duties concerning control, supervision, and administration of operation of business units, work performance
Securities and Exchange Commission concerning Determination of Definitions of the Terms Used in the Notifications concerning Issuance and Offer for Sale of Securities; “director” means a director of a listed
Definitions of the Terms Used in the Notifications concerning Issuance and Offer for Sale of Securities ; “ director ” means a director of a listed company; “ executive ” means the manager, the next four
the concert. (2) Managing of the concert; for instance, the rental fee of the location where the concert will be held, the expense of the musical instrument including color and light systems regarding
information by the following person: (1) any director who has the power to sign on behalf of the applicant; (2) any director who has the power to sign on behalf of a financial advisor, in case such application
information about investment of a fund. Clause 4 A person who may be appointed by an investment management company as a fund manager shall meet the following requirements: (1) not being a director, executive
) Re: Criteria for Approval of the Appointment of Directors, Managers, Persons with Managing Authority or Financial Advisors, both of which came into effect June 23, 2018. Salient points of the