of the accounts. The requirements aim to better reflect actual financial status and debt repayment capability of every client thereby enhancing securities companies? risk management and thus preserve
. The Smart Office uses less paper to preserve natural resources. This not only streamlines working procedures, both ours and stakeholders?, but also expedites service provision and enhances overall
” means mutual fund manager or private fund manager; (3) “Register of Persons Qualified to be Fund Manager” means the list of persons approved by the Office of the Securities and Exchange Commission as
. (2) “Fund Manager” means mutual fund manager or private fund manager; (3) “Register of Persons Qualified to be Fund Manager” means the list of persons approved by the Office of the Securities and
in any derivatives business only with institutional investors shall register with the SEC Office, unless it engages in the derivatives fund management business for a mutual fund under the Securities
matters: (1) Granting a waiver from an event of default in the case where the company is unable to carry out the following actions: - Closing the bondholders' register at least 14 days before the
summarized below: (1) Allowing funding portals to register as a bondholders’ representative, limited to the bonds issued through their platform, to support the issuance of secured bonds via
registrar of any asset as assigned by a client, the securities registrar shall proceed according to the rules, conditions and procedures for recording and maintaining the register of securities including
possessed for a member, a derivatives clearing house shall perform the following actions: (1) create and maintain for each member an accurate and current register of assets received from or possessed for the