. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 1/2548 Re: Rules for the Exercise of Fund’s Voting Rights at the
Business Clause 13 Personnel in the capital market business shall be persons who [i] have ability and work experience and [ii] attend training courses or pass the examination of courses provided by the SEC
Business Clause 13 9 Personnel in the capital market business shall be persons who [i] have ability and work experience, [ii] attend training courses or pass the examination of courses provided by the SEC
Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established under foreign law
the contract (physical delivery), or a party may make cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
and procedures as provided on the website of the SEC Office within 15 days as from the last date of each month having redemption or exercise; (2) the report of the exercising right to purchase
personnel training program. 7. Promoting the significance of employee’s honesty 8. Prescription of policy and procedures for human resource management such as the employment and the recruitment of
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this