such securities company has resumed its business operation with the approval from the SEC or the Office. (2) Any securities company, which ceases to undertake any particular category of its business or
) determining a compliance plan and operational procedures clearly, which should cover the overall business operation upon approval of the board of directors or the executive board. In this regard, the compliance
clearing house in the case where the regulations applied for approval may affect the business operation or the interest of such persons. Clause 4. All orders and circulars issued under or prescribing
) specify operation and issue that REIT manager has monitored property manager’s operation e.g. approval consideration of REIT annual budget, revenue and expenditure control which should be correspond to
SEC Office in writing for stopping being as a REIT manager and the SEC Office permits thereof; (2) the SEC Office revokes the approval or orders a suspension of operation for the remaining period of the
responsibilities; 3. the revocation of approval or the suspension of business operation more than 90 days imposed on the trust manager by the SEC Office under the Notification of the Securities and Exchange
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units 3.2 Investment