, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who
] returning collateral, especially when the following circumstances affecting the benefits of the borrower or the lender happened before the expiration of the agreement: (a) having additional shares by rights
circumstances affecting the benefits of the borrower or the lender happened before the expiration of the agreement: (a) having additional shares by rights offering; (b) change in par value resulting in an
securities are shares and the securities underwriting agreement indicates an obligation of over allotment of shares, a securities underwriter who is a provider of over-allotment shares shall monitor and
securities investment.” Clause 15. In cases where the underwritten securities are shares and the securities underwriting agreement indicates an obligation of overallotment of shares, a securities underwriter
; “Affiliated companies” means the followings companies: (1) Any company who holds shares of management company or employer, as the case may be, from ten percents of total shares sold of management company or
where securities are being traded for clients. Clause 8 In the case where a securities intermediary invests in shares to acquire proprietary assets in accordance with the rules prescribed in the
securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the
group of companies that identifies the shareholding proportions and the voting rights (if different from the shareholding proportions). In case of a subsidiary formed by a joint venture agreement with
restriction (4) Commencement date and expiry date of the agreement (5) Procedure for appointing a custodian (6) Information that should be disclosed to the client and the duration of such disclosure 6.1