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user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other financial
staff and user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other
number of voting rights of such juristic person; (8) “ client solicitation ” means soliciting clients for engaging in an agreement with a private fund management company by the way of providing investment
Mutual Funds and 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
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
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
, any transaction between each investment policy shall be deemed a transaction with a connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9
connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9 In the case where an intermediary enters into a transaction for a client with the