Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
. Such information should not be the basis for determining the value of any security or financial instrument or in making any decision to buy, sell or hold a security or financial instrument. It should not
Directors and Executives of Securities Companies (No.3) dated 15 September 2010. (Translation) 3 (a) hold shares of not more than five percent of the total shares with voting rights of the securities company
director shall: (a) hold shares of not more than five percent of the total shares with voting rights of the derivatives business operator, parent company, subsidiary company, affiliate company or any person
Institutions Development Fund; (q) juristic persons in which any persons specified under sub clause (a) to (p) hold shares in an aggregate of more than 75% of the total number of voting shares; (r) foreign
Development Fund; (q) juristic persons in which any persons specified under sub clause (a) to (p) hold shares in an aggregate of more than 75% of the total number of voting shares; (r) foreign investors having
– (a) the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer
management company appoint its permanent employee to be Property Fund Manager, such person shall hold the position with either of the following characteristics: (a) not causing any conflicts of interest with
) in case the management company appoint its permanent employee to be Property Fund Manager, such person shall hold the position with either of the following characteristics: (a) not causing any