private fund for which it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of
management scheme in compliance with the steps and procedures within the specified period and has attached all supporting documents as specified in the notification of the Office. In the consideration and
guidelines for the custody of the client’s assets in accordance with the provisions of this notification. Such rules and guidelines must be made in writing, elaborating procedural steps of authorized person
Consideration of the application for opening of the derivatives trading account shall be prepared in written with steps and procedures sufficient to ensure that the customer is the same person as the one
; “ mutual fund for a specific purpose ” means any mutual fund established under the following Notifications: (1) Notification of the Capital Market Supervisory Board regarding Rules, Conditions and Procedures
additional steps as follows: 2.1 put in place, if no longer required, a removal process of information stored on media to prevent information leakage; 2.2 define media disposal procedures when no longer
executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of the Securities and Exchange
Clause 9 and take steps in the matter shown under (a), (b), (c) and (d) of (1) at all time during which it undertakes derivatives business; (4) The licensee of derivatives business license type Sor-1 which
) Specify other remunerations and describe their characteristics, for example, the right to buy shares or convertible securities for directors and executives (clarify the rules and procedures for allocating
. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of