) Systems for receiving and processing complaints of unitholders’; 2(k) In cases where the applicant for the registration of fund supervisor intends to appoint any person as a custody agent, such applicant
; □ (2.3) Personnel planning for business expansion (if any). In the case where no personnel has been hired, the applicant shall submit the criteria for qualifications of such position. □ 5. Other supporting
business expansion (if any). In the case where no personnel has been hired, the applicant shall submit the criteria for qualifications of such position. □ 5. Other supporting documents. Please specify (If
emerged from the public, whether an ICO can be done legally, particularly whether it falls under the SEC’s regulations. Figure 1: ICOs that fall under the SEC’s purview 1.4 In cases where an ICO constitutes
shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the shareholder’s equity
been audited by an auditor approved by the Office shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such
the contract (physical delivery), or a party may make cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or
pursuant to the Notification of the Capital Market Supervisory Board concerning Provisions relating to Offering for Sale of Units of Foreign Collective Investment Scheme. In the case where the applicant