, 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
, 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 is
to complete the transactions. The client had given prior consent to her act claiming it was inconvenient to affix signature in person at the time. Despite no intention to conceal information in the
(UNOFFICIAL TRANSLATION) (Updated as of 2015) Form 61-1 1. Application for Approval of Capital Market Auditor Date: ............. Month: ......... Year: .......... Dear Secretary-General, Office of
. Work Areas Personal Data Contact Information Sensitive Data Qualification data Financial Data Verification Data 1. Information from the approval for the offer for sale and report of the results of the
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Page 2 of 32 (Unofficial Translation) Chapter 1
SEC Office (ECM) The SEC Office receives the following personal data from its cooperation with government agencies: Data for consideration of approval and inspection of wrongdoings from the Bank of
imposed when the SEC is granted an approval of the Civil Sanction Committee, which comprises five members, namely: (1) the Attorney-General; (2) the Permanent Secretary of the Ministry of