in the category of inter-dealer brokerage; (3) a securities company in the category venture capital management; (4) a derivatives intermediary in the category of derivatives advisory; (5) a person
: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to take the highest responsibility in Accounting and Finance, the person
take the highest responsibility in Accounting and Finance, the person assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and
Securities company Foreign Securities company Big lot (please specify the name(s) of parties executing the transaction with the reporting person (if known)) ( ) Direct sale/purchase (please specify the name(s
the name(s) of parties executing the transaction with the reporting person (if known)) ( ) Direct sale/purchase (please specify the name(s) of parties executing the transaction with the reporting person
Fund; “Advisor” means any person who giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The
Management of Property Fund and Loan Fund; “Advisor” means any person who giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund
; “Authorized person in private fund management” means the following persons: (1) Any person, who take responsibility in private fund management, from the position of private fund manager to manager in the case
the power to allow direct access for a person other than the SET's member to purchase or sell listed securities, grant additional exemption to members to trade listed securities outside the SET, and