directly or indirectly holds shares of the other party in the amount exceeding fifty percent of total issued and paid-up shares; or (2) In the case where the party that manages funds has the power to control
[Referring to Item 4.2]; - backup [Reference to Item 8.3]; - cryptographic control [Referring to Item 6]. 3. Supervision of the operating personnel: - end user controls, for example: - protection of unattended
Law on Derivatives ; (17) derivatives business operator under the Law on Agricultural Futures Trading; (18) international financial institution; (19) Deposit Protection Agency; (20) Stock Exchange of
Establishment of Mutual Funds and Execution of Agreements for Private Fund Management ; (7) “ major shareholder ” means a person directly or indirectly holds shares of a juristic person exceeding 10% of the total
Execution of Agreements for Private Fund Management ; (7) “ major shareholder ” means a person directly or indirectly holds shares of a juristic person exceeding 10% of the total number of voting rights of
shares sold of the Company. 1.2 Nature of Business 1.2.1 Income structure1 In case of more than one product line or business group, disclose the income proportion of each product line or business group
dated 3 November 1998; (2) Notification of the Office of the Securities and Exchange Commission No. SorNor. 18/2542 Re: Rules on Protection of Conflict of Interest on Investment or Holding of Securities
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
office, type of business, company license number, telephone number, facsimile number, home page (if any), amount and type of the total sold shares of the Company; (2) Name, head office, type of business