). Nevertheless, the issuance and offering of the U-W3 Warrants to BBL and UE constitutes an issuance and offering of warrants to specific investors at a specific offering price determined by the resolution of a
performance of duty as financial advisor under this Notification; (3) “supervisor database” means the database prepared by the Office under the rules prescribed by this Notification to display the name list of
as capital market personnel for the period of one year; Suspension of {H} from performing duty as securities investment consultant for seven months.{A} and {B} served as the executives of Country Group
” means a manager of the branch office or a person responsible for the operation of a branch office; “ fund manager ” means a mutual fund manager or a private fund manager who performs the duty of making
operation of a branch office; “fund manager” means a mutual fund manager or a private fund manager who performs the duty of making decisions on investment in or disposing of securities or any other asset
auction process and has started the auction process since 14 September 2018. The period for auction process has been scheduled during 14 September 2018 to 13 October 2018, and Modern Street determined the
, who have duty to communicate with or provide services to the client , to display themselves, by ways and means as determined by the intermediary , that they are assigned by the intermediary to provide
) application for approval of personnel whose name is listed in the registration for personnel who possesses qualification to perform the duty of fund manager under the Notification of the Office of the
business day of the year wherein the approval will expire, and (2) require the business operator to submit an application, notify the commencement and termination of duty performance, and renew the
infrastructure fund project, prospectus, appointment and performance of duty of fund manager and approval of investor contact.Infrastructure fund will become a new investment alternative while private and public