2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of
Earlier, SEC had considered the amendments to the rules relating to net capital requirement for securities and derivatives business operators, and published a public hearing in 2019 which covered
Fund Approval and Management System (“OFAM”). In addition, the amendment would expand channels for announcement of dividend payment such as websites of asset management companies. The paperless
assets in accordance with the Notification of the Capital Market Supervisory Board No. TorChor. 20/2551 (2008) Re: Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Asset
institutions. In this regard, the aforesaid loan does not affect the ability to make dividend payment to the shareholders of B.Grimm Power. 10. Directors Having an Interest and/or Being a Connected Person who
affiliated must notify the SEC Office in writing of its intention for the applicant to do so, and the SEC Office must send a letter of acceptance before the applicant can use the fast track system. In this
Directors resolved to approve the request for rectification of financial assistance (17July 2019) Connected person Relationship With GSC Relationship With ACAP Number of shares held in GSC(shares
place; and (2) in cases where the person appointed as a fund manager is an employee of the investment management company, holding a position having either of the following characteristics: (a) a position
in the Extraordinary General Meeting of Shareholders No. 2/2020 held on 17 June 2020 of Rich Asia Industry Company Limited (“Subsidiary Company”) in order to do legal registration of transferring the