companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian
“ controlling person ” shall have the same meaning as defined in the Notification of the Securities and Exchange Commission concerning Determination of the Definitions in [Other] Notifications relating to
person” shall have the same meaning as defined in the Notification of the Securities and Exchange Commission concerning 2 Determination of the Definitions in [Other] Notifications relating to Issuance and
same meaning as defined in the Notification of the Securities and Exchange Commission concerning 2 Determination of the Definitions in [Other] Notifications relating to Issuance and Offer for Sale of
, seminar or lecture of the same subject will not be counted. 1. Up to 3 hours per subject will be accumulated. 2. Teaching on the same subject will not be counted. 4. Application for activity acceptance by
lecture of the same subject will not be counted. 1. Up to 3 hours per subject will be accumulated. 2. Teaching on the same subject will not be counted. 4. Application for activity acceptance by the Office
Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments (No. 2) dated 25 March 2009. Clause 3 In this Notification, unless otherwise specified: (1) “ executive ” shall have the same
Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments (No. 2) dated 25 March 2009. Clause 3 In this Notification, unless otherwise specified: (1) “executive” shall have the same