voting rights of JAS which caused his aggregated holdings of JAS shares to exceed 50 percent. The amount of his holdings of JAS was a significant degree of control of JTS. However, Mr. Pete failed to
by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a mutual understanding that the information is shared confidentially. The Principles are high-level
period except for those of similar activities. 2. Further education 2.1 Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course (at least Level 1) during the past
) course (at least Level 1) during the past two calendar years prior to expiration of approval term; 2.2 Master’s degree or higher from educational institutions accepted by the Office during the past two
Analyst (CISA) or the Chartered Financial Analyst (CFA) course (at least Level 1) during the past two calendar years prior to expiration of approval term; 2.2 Master’s degree or higher from educational
management or risk management of such investments, whether or not it is a central utility function and at any level, there shall be a procedure for requesting an approval from the intermediary’s board of
management of such investments, whether or not it is a central utility function and at any level, there shall be a procedure for requesting an approval from the intermediary’s board of directors in each case
regular basis and the degree to which each individual director has the capacity to undertake multiple directorships should be clearly disclosed. 1.6 Induction The board should have in place a formal process
per share. In case of having securities listed elsewhere, identify the name of the Stock Exchange. (2) In case of having other types of share such as preferred share whose rights or terms differ from