businesses by providing their access to capital in the appropriate means while offering a variety of products and services. Meanwhile, quality of investors must be emphasized. Last but definitely not least, it
than 50% threshold criteria. Therefore, the Company has an obligation to report and disclose the transaction by preparing at least an information memorandum (as set out in Schedule 1 to the Notifications
providing investment advisory service, the investment advisory company shall at least undertake to act as follows; provided that if it intends to arrange a mutual fund rating, it shall also comply with Clause
operating fund supervisor business, at least the followings, are or will be at the ready: (a) Systems for separating mutual funds’ assets from those of the fund supervisor’s, for attending and safekeeping of
irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for operating fund supervisor business, at least
security of information technology in accordance with the criteria prescribed and notified by the SEC Office. Clause 9 The derivatives broker shall ensure that at least one-quarter of the company’s directors
least one-quarter of the company’s directors are independent directors. In cases in which an independent director of the derivatives broker dies, resigns, or his or her approval by the SEC office is
. 6 Clause 15/2 8 Management of any other properties which are not principal assets of a REIT shall comply with the following rules: (1) in case of managing by itself, the trustee shall at least impose