characteristics as specified; and (2) a person who is a director or a person with the controlling power of a juristic person with the duty of asset custody or protection of customers’ interest in securities
be; (3) the CIS operator shall deliver the information under sub-clauses (1) or (2) to the securities company within the same period as having duty to deliver to investors or submit to home regulator
Approval and Duty Performance of CIS Operator __________________ Clause 4 Unless specified otherwise in this Notification, in offering for sale of units of a collective investment scheme, the CIS operator
SEC Office shall have the authority to specify the timeframe or conditions for its consideration of subsequent applications by taking into account the significance of the prohibited qualifications
securities company , the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities company . Clause 5 The provisions in Clause 19
securities brokerage business undertaken by a securities company, the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities
undertaking transaction between the Company, M.K. Real Estate Development Public Company Limited (“MK”) and Prospect Development Company Limited (“PD”) as promisors and the Trust as promisee, to assure the duty
12-month period ending on 31 December 2019 to ending on 31 December 2021 (3 years) have a net profit (excluding special items) less than 100,000,000 per year, the Company will no longer have a duty to
intermediary shall take the following acts at a minimum: (1) inform the foreign personnel of the scope of performance of duty; (2) ensure that the giving of information or advice is restricted only to the