centers may be lent or borrowed; (2) Types of collateral assets shall also include a) cash in all currencies, b) all types of listed securities except warrants, c) investment units of open-ended funds
_____________ Clause 11 An applicant who will obtain approval to be REIT manager shall demonstrate that it has ability to manage the REIT, being assigned by REIT trustee, efficiently and provide measure for
dated 15 September 1992 shall be repealed. Clause In this Notification: “ Office ” means the Office of the Securities and Exchange Commission. Clause 2/1 This Notification shall not apply to the
preventing wrongful acts that may cause damage to securities issuers or securities holders will be put in place. Clause 4 The application for a license under Clause 3 shall be submitted together with the
sanctions, the SEC will notify the public prosecutor in writing for filing the case with the Civil Court to seek a civil sanction with a maximum penalty as prescribed by law which shall not be lower than
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and operational
that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the