SEC Office under this Notification shall be in accordance with the following criteria except when granted a waiver from the SEC Office as deemed necessary and appropriate: (1) the person having duty
affix signature in giving opinions on the auditing of the following businesses: (1) a company applying for an offer for sale of newly issued securities; (2) an issuing company having the duty to prepare
) “prospectus” means a prospectus which is identical to a draft prospectus filed with the SEC Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing
identical to a draft prospectus filed with the SEC Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading price of investment unit of
mutual fund management company to perform duty in managing the trading price of investment unit of an ETF fund in an organized market to proximately reflect the value of such investment unit which is
and deliver information of investment or holding of the assets as asset of the management company to the Office by accompanying with other information in which management company has the duty to deliver
the duty to deliver via the Investment Management Reporting System or Private Fund Provident Fund Reporting System as specified by the notification of the Office of the Securities and Exchange
” means a prospectus which is identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading
identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading price of investment units of an
Office by accompanying with other information in which management company has the duty to deliver via the Investment Management Reporting System or Private Fund Provident Fund Reporting System as specified