Executives of Derivatives Intermediary, as the case may be. Clause 5 An intermediary may establish a branch office by complying with the following rules: (1) in case of domestic or oversea branch office, the
SEC Office may announce a detailed guideline for the benefit of compliance with the requirements under this Notification. In case of having complied with such guideline, it shall be deemed that an
case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their
; however, for the REIT whose underlying assets are properties on long term leases to tenants or on leases to only one lessee, the summarized essences of lease agreement shall be provided; - in the case that
behavior.On {A} case, her employer reported to the SEC that {A} failed to meet minimum educational requirements for her job. The SEC ' s further probe showed that she also failed to meet the SEC's requirements
. Clause 5 In case of submitting a registration statement and draft prospectus for an offer for sale of newly issued convertible securities, it shall be deemed that the registration statement and draft
for Establishing Branch Offices of Intermediaries dated 26 June 2013). Details Yes No 4.1 Maintenance of net capital or shareholders' equity: (a) In case of intermediary subject to the net capital rules
capabilities fully and cautiously with sufficient information and referable evidence; (c) members shall disclose to clients any case where the members have an interest, whether directly or indirectly, in any
: ...................................................... (…………………………………………….) Authorized person Date: ......................................... Remarks: 1. In case of authorization for submission of documents, a power of attorney is required. 2. In case of a juristic person, the