transactions (churning) in the following manners: (1) refrain from soliciting or encouraging clients to enter into transactions more often than necessary; (2) refrain from entering into any transaction for a
the SEC Office; (4) having been sentenced in the following manners as a result of being accused by the SEC Office, except when it has elapsed at least 3 years after having been punished until the date
manners shall be binding upon approval of the fund supervisor without necessarily acquiring the resolution of the unitholders: (a) a revision to the material information in the commitment to be consistent
The SEC Office retains your personal data in the following manners: 1. Retention The personal data will be retained in accordance with the characteristics of the personal data received: The personal
is related or has a relationship with other businesses in any of the following manners: (a) most of the directors and executives of such juristic person are the same group of people who are the
other businesses in any of the following manners: (a) most of the directors and executives of such juristic person are the same group of people who are the directors and executives of other businesses; (b
the SEC Office regarding an application for an offer for sale of newly issued shares due to a significant suspicious ground regarding management mechanism in any of the following manners: 1. having a
, effective as from 1 September 2014. 4 (1) the trustee has a relationship with a REIT manager in the following manners: (a) the trustee holds more than 5 percent of the voting shares of the REIT manager of the