, soliciting, giving advice and preparing investment plan or analyzing securities investment for investors, the investor contact shall not delegate other persons to act or perform duties on his behalf. Clause 11
approval of capital market personnel due to the possession of prohibited characteristics under the third category only when at least the following actions have been taken: (1) giving an opportunity for the
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets . At least, there shall be a separation of personnel responsible for
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing
giving reasons that he/she was just appointed as the lawyer and was attached to the court. Thus he/she would like to reconcile with the plaintiff first before the pleading. The court postponed the
shareholders attending the meeting with voting rights, excluding the votes cast by stakeholders; 2) To appoint the Independent Financial Auditor for giving an opinion on such related transaction following the
total number of the shareholders attending the meeting with voting rights, excluding the votes cast by stakeholders; 2) To appoint the Independent Financial Auditor for giving an opinion on such related
revoke the approval under sub clause (2); (2) revoke the approval for offer for sale of bonds in the portion which has not been offered for sale or subscribed yet. 11 In giving an order under the first
number of pages for mutual funds with complex return structure. The management company shall provide additional information to ensure an understanding of the return structure by giving explanation in the