in the register of person qualified to be fund manager. In granting an approval according to the first paragraph, the Office may specify a period for the applicant to attend the first training course

Clause 14(1) mutatis mutandis, except for Clause 14(1)(d) in the case of a retrospective price correction report for an open-end fund, which shall specify the action taken by the mutual fund management

shall specify that the trust property shall be entitled to receive payment after the ordinary creditors of the originator at least in the following circumstances: (1) the originator is under receivership

least indicate the substance of the debt securities including its features and important risks. In this regard, the SEC Office may also specify rules and procedures for preparing such fact sheet. Clause

, underwriting and allotment of newly issued securities mutatis mutandis , except where investors voluntarily declare their intention not to obtain such information. In case where the requirements specify that in

securities mutatis mutandis, except where investors voluntarily declare their intention not to obtain such information. 5 6In case where the requirements specify that in an offer for sale of any types of

case where the requirements specify that in an offer for sale of any types of securities, issuing company shall distribute a summarized substance of instrument (fact sheet), securities underwriter shall

the appointment of independent director for subject securities company temporarily or permanently as prescribe in the first paragraph. In such instance, the Office may specify conditions for the

, the Office may specify conditions for the securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable

) (a) securities company shall clearly specify in such deposit account or investment that the undertaking by securities company is for client's benefit. In the case where the securities company deposits