the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for selling and buying
procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee Meeting No. 4
prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall be submitted to the SEC Office. This case is expired. SEC Act S.106
benefits of the capital market. Expectations include: Provide opportunities for businesses to operate independently with an effective supervision system in place to ensure an orderly market; Be
legislation under which the issuer operates, its country of incorporation and the address and telephone number of its registered office (or principal place of business if different from its registered office
transfers or will transfer an asset to or places or will place an asset with a special juristic person for the purpose of securitization. “trust” means trust in accordance with law governing trust for
Acquisitions or Dispositions”). Size of the transaction by the highest value based on total considerations (Translation) Page 2 of 2 method is equal to 13.37%. When taking into account all other asset
%. When taking into account all other asset acquisitions transacted during 6 months prior to the date the decision is made to enter into the transaction, total size of the said transactions by the highest