. (2) “Fund Manager” means mutual fund manager or private fund manager; (3) “Register of Persons Qualified to be Fund Manager” means the list of persons approved by the Office of the Securities and
in any derivatives business only with institutional investors shall register with the SEC Office, unless it engages in the derivatives fund management business for a mutual fund under the Securities
execution. Clause 8. Securities company shall provide evidence and document about securities trade completely and up date, and keep it for at least five years as from the trading date, of which evidence and
document about securities trade completely and up date, and keep it for at least five years as from the trading date, of which evidence and document of the latest two years must be available for the Office’s
Office the ceasing of business operation or the ceasing of transaction execution. Clause 8.9 Securities company shall provide evidence and document about securities trade completely and up date, and keep
matters: (1) Granting a waiver from an event of default in the case where the company is unable to carry out the following actions: - Closing the bondholders' register at least 14 days before the
summarized below: (1) Allowing funding portals to register as a bondholders’ representative, limited to the bonds issued through their platform, to support the issuance of secured bonds via
) Financial Literacy media under the theme, “Money Matters,” with video presentation and storybooks about the importance of money saving, the basics of personal finance, and how to keep track of incomes and
companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian