offering1. In this regard, the Company shall disclose the following information: (1) Spending of the money obtained from each offering of equity or debt securities2. Spending Objectives Amount of Spent Money
acquisition of a business, unrelated to the operation of the current business. 3. To repay a loan or debt incurred from an issuance of debt securities. · In case of debt repayment to a group of financial
as follows: (1) issue notices to the creditors whose names appear in the accounts and related documents of the mutual fund, instructing them to submit demand for debt repayment to the liquidator within
guarantor rating, as the case may be. In cases where the issuer is also required to file the annual registration statement (Form 56-1) for an issuance of debt securities having a guarantor, attach also the
Procedures for Dealing of Debt Securities (No. 3) dated 31 January 2000. Clause 3. In this notification: “securities” means securities which are debt Securities; “securities company” means a company licensed
Office hereby issues the following regulations: Clause 1 In this Notification: “ derivatives broker ” means a person licensed to undertake derivatives business in the category of derivatives brokerage
1. This Notification shall come into force as from 1 January 2001. Clause 2. In this notification, unless the contrary intention appear, “Securities” means the securities which are not debt
securities companies in underwriting securities that are not debt instruments. The provision of the first paragraph shall not apply to the underwriting of investment units. Clause 3. The provisions of Clause 4
services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC