Execution of Agreements for Private Fund Management; (7) “major shareholder” means a person directly or indirectly holds shares of a juristic person exceeding 10% of the total number of voting rights of such
correctly, completely and up to date, and shall keep them for not less than two years from the date of preparing such document evidences: (1) information of a customer using for supplementing the giving
-five percent of the total shares with voting right; (o) a foreign investor of the same characteristics as those under (a) to (n) mutatis mutandis ; (5) “ retail client ” means a client other than
of the total shares with voting right; (o) a foreign investor of the same characteristics as those under (a) to (n) mutatis mutandis; (5) “retail client” means a client other than institutional clients
directors’ compensation is required on an individual basis, while members of its administrative, supervisory or management bodies’ compensation is required on lump sum basis (aggregate amount). The standard
and completely. Clause 10. In the case where the securities company uses an information technology of the outsider provider, the securities company shall determine a measure for selection and
capable of operating continuously, correctly and completely. Clause 10. In the case where the securities company uses an information technology of the outsider provider, the securities company shall
_____________________________________________________________________ 5. I/We affirm that the ASEAN CIS is completely in compliance with Part I : Qualifications of the CIS Operator, Trustee/ Fund Supervisor, and requirements relating to Approval, Valuation, and
5. I/We affirm that the ASEAN CIS is completely in compliance with Part I : Qualifications of the CIS Operator, Trustee/ Fund Supervisor, and requirements relating to Approval, Valuation, and