business relationship with the securities company, parent company, subsidiary company, affiliate company or person who may have conflicts of interest that may impede the exercise of independent judgment, and
Re: Particulars of Notice Calling Shareholders’ Meeting of Listed Companies to Obtain Approval for Issuance and Offer of Securities for Sale
debt securities offered or listed. 3. Provide information about the form of the security, such as whether investors can obtain physical certificates or whether their interests will be recorded via a book
characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary ; (2
business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may
shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining
representation of the debt securities holders, as well as where the investors may obtain access to the contract. Indicate whether the issuer is required to make periodic disclosure such as disclose the evidence
industrial channel, as to not impede the retail market, which is the company’s main sales channel. 2. Net marketing margin in 2018 was within proximity of 2017 levels. During the mid-year, various factors had
well as the individual face value of each type of debt security offered or listed. 3. Provide information about the form of the security, such as whether investors can obtain physical certificates or
, such as, the forms of services, the presumption of algorithm, any relevant risks, including the factors or events that would hinder the use of technology, and such information must be sufficient enough