manage liquidity of fixed income funds and mixed funds that invest at least 60 percent of the net asset value in debt securities. The limit for such transactions is increased from 10 percent to 30

total revenues came from a major counterparty. 2.  In term of due diligence, failure to have the following information disclosed:(1)  Debt repayment ability of a large debtor which is also the applicant?s

industries.    The SEC is therefore proposing to amend the regulations on debt securities offering to support the issuance and offering of sustainability-themed bonds through crowdfunding and private

sale newly issued securities in the category of of debt securities to high-net-worth investors on a program basis without providing its securities for credit rating prior to the offer for sale of the

of her position resulted in the offence committed by KACHAVET Company Limited concerning the case that KACHAVET Company Limited reported an incident in which the Company breached the debt repayment

S GENIX Company Limited S GENIX Company Limited (at the time of the incident, the company name was Generation S Company Limited) reported an incident in which the Company breached the debt repayment

position resulted in the offence committed by KEENBIZ Company Limited concerning the case that KEENBIZ Company Limited reported an incident in which the Company breached the debt repayment agreement for the

Dragon Energy Technology and Organizer Company Limited Dragon Energy Technology and Organizer Company Limited reported an incident in which the Company breached the debt repayment agreement for the

services relating to capital market products . Division 1 Compilation and assessment of client information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s

requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of investment, debt repayment and pledging collateral, and