taking into account the best interest of unit holders. In addition, the applicant shall comply at least with the following criteria: (1) no reasonable doubt of the applicant’s financial position which may
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Consultant on Complex Products Type 1 No. Relevant Knowledge Qualifications List of Required Examinations1 (1
application shall be in the Form 35-1 as provided in the SEC electronic system; (2) in case where an offer for sale of newly issued shares by a public limited company with no doubt in good corporate governance
the followings: Low level of involvement in audits by engagement partners and EQCRs Incomplete audit manuals and audit programs as required by the new auditing standards. Incompetent EQCRs in the
suitability for investment and the relevant risk exposure. If you are in any doubt as to the action you should take, you should consult your legal, financial, tax, or other professional adviser. A copy of this
Investment Analysis on Technical Factors List of Required Examinations1 (1) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on Securities2and Derivatives (4) Knowledge
Offering of any Type of Debt Securities dated March 13, 2009. 4 1. Provide information of the covenants that are aimed at protecting debt securities holders, under which the issuer is required to take or
Pursuant to Section 6(3) and Section 8(1) of the Royal Decree No. 750 issued by the Revenue Department, any VC or PE Trust wishing to receive revenue tax exemption is required to notify its VC or PE
Experience1 List of Required Examinations2 Investment Analysis on Securities3 Related Rules on Investment Analysis 1 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or
billion relates to MSW23. The investment required to deal with future waste management within a 2ºC scenario is difficult to quantify, particularly as it is the capital cost that is of interest, that cost