application for approval, or may not impose the conditions under this Notifications upon the offer for sale of units of foreign collective investment scheme as prescribed in Part 2: (1) there is a clear fact
to impose sanctions or to order the CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify
approval prior to issuance and offer for sale of securities; however, the consideration process must not impose excessive obstacles or costs on the issuing companies. · The SEC requires that
persons shall have the power to impose administrative sanctions: (1) the SEC Office shall have the power to impose administrative sanctions under Section 67(1) or (2); (2) the administrative panel under
Administrative Procedure Act shall apply mutatis mutandis . SECTION 69 The following persons shall have the power to impose administrative sanctions: (1) the SEC Office shall have the power to impose
the Civil Sanction Committee considers it is appropriate to impose a civil sanction, the SEC Office shall inform such matter to the inquiry official as well. SECTION 317/3 The Civil Sanction Committee
have the power to impose administrative sanctions: (1) the SEC Office shall have the power to impose administrative sanctions under Section 67(1) or (2); (2) the administrative panel under Section 72
voting mechanisms that allow shareholders to participate in general meetings either in person or remotely, preferably by electronic means or by post, and should not impose unnecessary hurdles. 8.5 Vote