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
damage to IFEC. The public prosecutor issued a non-prosecution order. The case was deemed final. SEC Act S.307 311 313 in conjunction with Section 83 of the Penal Code Criminal Complaint Filed with an
timing such as: 1. Issue monthly report to show the flow and the balance of assets in each month; 2. Issue daily report in the case of client’s order to transfer money or assets to other person or in the
in each month; 2. Issue daily report in the case of client’s order to transfer money or assets to other person or in the case of money or assets transferring for purposes other than those provided in 1
she neglects or has neglected reasonable examination in order for preventing the juristic person or business which he or she has power of management or the operator under his or her supervision (if any
reasonable grounds to believe that he or she neglects or has neglected reasonable examination in order for preventing the juristic person or business which he or she has power of management or the operator