intermediary shall maintain net capital in conforming to the rules as stipulated in the Notification of Securities and Exchange Commission on the issue thereof, as the case may be; (b) in case of a securities
conforming to terms and conditions as stated [in the trust instrument] for each class as well; (4) in any case, the trust instrument has not to be interpreted in such a way that it is contradiction or
case the outsourcing policy or contract fails to be conforming to the regulations under this Notification, the intermediary shall amend such policy or contract in order to be in accordance with this
into force shall be deemed that the outsourced function thereof is lawful action under this Notification. In case the outsourcing policy or contract fails to be conforming to the regulations under this
construction companies, etc. • For the Modern Trade group, which are the large retail stores, despite the fact that the Government sector has relaxed its measures by allowing such stores to be open conforming to
applicant shall arrange a financial advisor, whose name appears in the SEC Office’s approved list, to jointly prepare an information in a notice calling for shareholder’s meeting in conforming to Clause 12
fund, manual, or operating check list and performance report. 2. Fund establishment procedure should be conforming to the characteristic of the mutual fund as follow: 2.1 In the case where the mutual
plan for establishment of the fund, manual, or operating check list and performance report. 2. Fund establishment procedure should be conforming to the characteristic of the mutual fund as follow: 2.1 In
conforming to the principle of Clause 30 and Clause 38 of the Notification on Standard Conduct of Business . Clause 29 The following products shall be deemed as risky or complex capital market products: (1