qualified to be appointed as fund manager; (4) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing the company, regardless of the job title; (5
Exchange Commission as qualified to be appointed as fund manager; (4) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing the company, regardless of the
onwards. In this regard, the Board of Directors by the Nomination and Remuneration Committee is in the process of nomination of a qualified and appropriate person to be a director for a vacant position. If
in a face-to-face manner to clients who appear in person before the intermerdiary’s employees; (2) clarify the effect of investment or transaction in case of worst case scenario described in prospectus
) provide service in a face-to-face manner to clients who appear in person before the intermerdiary’s employees; (2) clarify the effect of investment or transaction in case of worst case scenario described in
details for implementation by the personnel or person assigned to operate the securities company; (2) Information, including the roles and responsibilities, of the personnel in charge of operations in the
9 and Clause 10 for a minimum period of two years from the preparation date thereof and in the manner which facilitates prompt inspection by the Office upon request. Clause 12. This Notification shall
procedures as specified in the notification. In this regard, CoinsTH failed to appoint a new highest-ranking person taking responsibility in a compliance unit ("Head of Compliance") by the date
service providers relating to derivatives as specified in the notification of the SEC. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the