Notification: (1) “representative” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management company is a private
) “representative” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management company is a private
regulations: Clause 1 In this Notification: (1) “executive” means a manager or a person with power of management; (2) “manager” means any person who is authorized by the board of directors of the company to
(Newest) Date (Oldest) translate-spv.docx the period prescribed by the SEC Office; (2) any person who is in possession of property or documents belonging to the special purpose juristic person shall inform
shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the
person in and out of the unit responsible for custody the private fund assets; □ (3) Operation system that allows the custodian to operate efficiently shall include at least the following: □ (3.1) System
allocated assets prior to others. These customers must not be individuals with a relationship to the derivatives broker in such manners as director, executive, major shareholder and controlling person of
continues. Therefore, SEC has filed a criminal complaint against all three persons with ECSD. In this regard, any person affected from such unlicensed activities should call ECD at 0-2237-7535 to provide