SEC Office under this Notification shall be in accordance with the following criteria except when granted a waiver from the SEC Office as deemed necessary and appropriate: (1) the person having duty
usefulness in the nature as being a property of IEC, and acting in order to obtain unlawful gains for himself or another person. The court sentenced him a 4 years and 12 months imprisonment and a total fine of
. Clause 6. Prior to agreeing to provide selling agent service for units of foreign collective investment scheme, securities company shall arrange to have agreement in writing with person responsible for
dated 4 June 2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “executive” means a manager or an authorized management person; (2) “manager” means a person
this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of gold derivatives” means any person
in the category of inter-dealer brokerage; (3) a securities company in the category venture capital management; (4) a derivatives intermediary in the category of derivatives advisory; (5) a person
Establishment and Management of Property Funds; “paid up capital” means the total value of the units which are paid in full. “REIT manager” means a person who performs the duty as REIT manager in accordance with
authorized to make decisions on company’s business operation on behalf of the board of directors; (5) “Department director” means any person who is responsible for the internal operation of a department in the