contains the followings: 1. Matters to be informed at the creditors’ meeting 2. Proposal of a person as the rehabilitation planner 3. Objection to the creditors’ votes 4. Selection of the rehabilitation
collateral placement, selection of securities, data processing and data reporting to the management, agreement with investors and additional conditions in the case where business operators have the duty to
company shares and are one of the factors in the selection of securities for SET50, SET100 and SETHD. Yet, given that these important criteria were last revised in 2008, SEC views that it is appropriate for
with regard to the approval of invoice issuance, expenses, payments, selection of service providers, and compliance with local rules and regulations. The SEC has therefore instructed CHUO to cooperate
delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business in the category of
operation; (7) Every delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business
trust)—may be managed by entities other than asset management companies (CIS operators). These entities are, however, supervised by foreign securities regulators that are ordinary members of IOSCO
supervised in response to the changing scenarios to enhance investors’ trust and confidence. In this connection, the SEC sets priorities for policy measures, developmental and supervisory, that can keep pace
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets