a person who has qualifications inconsistent with 4 and 6, he or she shall be granted an exemption from such prohibition, provided that the issuer has obtained an opinion of the board of directors
institutions established by the specific law. (2) a written contract upon the appointment of an agent for the custody of client’s assets shall be arranged. Such contract must contain a prohibition on appointment
by the specific law. (2) a written contract upon the appointment of an agent for the custody of client’s assets shall be arranged. Such contract must contain a prohibition on appointment of sub-agent
a third party such as an audit firm, a law firm, or any other juristic person? A: Yes. The law does not specify any prohibition on the matter. The appointee can be either an ordinary person or a
a third party such as an audit firm, a law firm, or any other juristic person? A: Yes. The law does not specify any prohibition on the matter. The appointee can be either an ordinary person or a
refrain from taking certain actions. Examples of the covenants include a. prohibition on the payment of dividends if certain conditions are met in order to prevent depletion of the issuer’s funds that are
from taking certain actions. Examples of the covenants include a. prohibition on the payment of dividends if certain conditions are met in order to prevent depletion of the issuer’s funds that are
(name of agency)....…………………....……..…..(document attached) (if any) O no 6.14 Pending under prohibition to be or act as a director, manager, or person with managing power or an advisor of a financial
prohibition to be or act as a director, manager, or person with managing power or an advisor of a financial institution: O yes O no 6.15 Pending under the period prescribed by an order of the Office to be
prohibition to be or act as a director, manager, or person with managing power or an advisor of a financial institution: O yes O no 6.15 Pending under the period prescribed by an order of the Office to be