. Maintenance of status 1. The Contacts being approved on a basis of being an executive of a securities company, mutual fund manager or private fund manager will be granted renewal of the approval if they
. Maintenance of status 1. The Contacts being approved on a basis of being an executive of a securities company, mutual fund manager or private fund manager will be granted renewal of the approval if they
. Maintenance of status 1. The Contacts being approved on a basis of being an executive of a securities company, mutual fund manager or private fund manager will be granted renewal of the approval if they
SEC must submit the application to be auditor in the capital market (Form 61-1), along with the following documents: (1) a profile and details of the applicant; (2) a copy of registration certificate
III-compliant Instruments') Private Placements to Limited Number of Investors (PP - 10) II & HNW [1] PO [2] Approval Qualifications and approval rules - Application shall be submitted for
Investors (II) Private Placement to High Net Worth Investors (HNW) Public Offering (PO) Approval Qualifications and approval rules - The approval will be granted upon the registration of the
to be Fund Manager, such person shall hold the position with either of the following characteristics: (a) not causing any conflicts of interest with the management of funds; or (b) being the position
to be Fund Manager, such person shall hold the position with either of the following characteristics: (a) not causing any conflicts of interest with the management of funds; or (b) being the position
. These include the offer price being no less than 90 percent of the market price, and the objective not being to fund a large-scale project that requires the shareholders? prior approval. In addition, the
private fund from being seized by legal process if asset management companies are in debt, SEC has proposed to revise the related regulations in order that the investors’s assets could be protected if