investment advice, was negligent in supervising work control and compliance at the branch, which consequently led to inappropriate investment as far as the client's demand and risk profile were concerned. The
loans provided by clients, as well as, failing to discharge the duty properly as a manager in supervising and examining the staff's conduct to ensure the compliance with laws and regulations, in violation
aggressive role in developing the market, supervising intermediaries and establishing effective communication with stakeholders under the 4P?s Principle which consists of the following attributes
Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for
, of which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for establishment] from the Securities and Exchange Commission. “mutual fund management
business growth rate in 3-5 years 2. The executive should prescribe key policies in supervising the undertaking of fund management business in writing with an approval from the board of directors of the
the future plan such as business growth rate in 3-5 years Page 4 of 32 (Unofficial Translation) 2. The executive should prescribe key policies in supervising the undertaking of fund management business
Million or more than 0.03% but less than 3% of NTA. Whichever higher. The size of transaction is medium. Hence, the 3 Company is required to get the approval from the Board of Directors and has to disclose
, all together was equal to 0.5722%; which was considered as a medium transaction so that the Company is required to get approval from the Board of Directors’ meeting and disclose information to the Stock