person appointed by the management company to act as a mutual fund manager and it appears later that the information specified in Form 117-6 has changed, the management company shall prepare and submit a
as a mutual fund manager and it appears later that the information specified in Form 117-6 has changed, the management company shall prepare and submit a report on such changes to the Office as per
, responsibility, or nature of operation may create conflicts of interest. At least, it shall separate the work units and personnel responsible for contacting, soliciting, or giving advice on securities investment
personnel whose duty, responsibility, or nature of operation may create conflicts of interest. At least, it shall separate the work units and personnel responsible for contacting, soliciting, or giving advice
as the operation of the work units relating to undertaking the derivatives brokerage business in a manner whereby it can be demonstrated that a system to prevent conflicts of interests, a system to
Supervisory Board No. Tor Thor. 10/2555 Re: Criteria for Undertaking the Derivatives Business for Licensed Derivatives Brokers (No. 3) dated 18 January 2012. 3 whereby it can be demonstrated that a system to
Romyen 2, constituted the total highest transaction value of 24.49 percent based on the value of consideration criteria. It is considered as a Class 2 transaction under the Notification on Acquisition or