the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, does the responsible person have sufficient and appropriate experience, authority, and time
” means manager or person with power of management; (2/1) 1 “manager” means any person assigned by the board of directors of the company to be ultimately responsible for the management of the company
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
qualified to be appointed as fund manager; (4) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing the company, regardless of the job title; (5
Exchange Commission as qualified to be appointed as fund manager; (4) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing the company, regardless of the
the company to select a person with knowledge and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the
work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable the company to select a person with knowledge (Unofficial
person with knowledge (Unofficial Translation) Page 2 of 4 and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image
person, as well as the nature of such control. To the extent known to the issuer, indicate whether the issuer is directly or indirectly owned or controlled by another corporation, by any foreign government
– (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