approval by the authorised person; · Controlling the privilege user strictly, such as controlling the compliance such user in a manner of dual control which imposing two officer possess half of password or
Capital Market Supervisory Board concerning Offer for Sale of Newly Issued Debentures in the Category of Structured Note or Debentures Imposing Obligation on Debenture Holder which are Issued by Financial
categories of bills of exchange, promisory notes, bonds and debentures but excluding structured notes and debenture imposing obligation on debenture holder. In case the remaining time to maturity of the debt
transaction including the detailed procedure in calculating such profit, loss, benefits or returns; (4) potential risks from entering into derivatives transaction including the factors causing risks and the
action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information
…………………………………………… In offence relating to …………………………………………… Under the law…………...………………. (attachment) (if any) O No (6) is or previously has been an executive who have participated in causing damage or must be jointly
management company appoint its permanent employee to be Property Fund Manager, such person shall hold the position with either of the following characteristics: (a) not causing any conflicts of interest with
securities business or derivatives business: O yes O no Form as of 25 July 2006 6.18 Having been a director, manager or person with managing power of a financial institution who have participated in causing
) imposing the intermediary to submit any information, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the
money with an agreement to transfer financial assets to the other party in exchange for cash or other returns, whereby causing an obligation to repurchase such financial assets in the future at the amount