standards of intermediary’s personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or
standards of intermediary’s personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or
English (United States) rulemaking Laws/Regulations × Home > Laws/Regulations > Rule Making Process
total sold units, but asset management companies are still required to disclose information regarding unitholding over the one-third rule to investors and such unitholders are not allowed to exercise
Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to
collectively have the power to govern its financial and operating policies so as to obtain benefits from its activities. 8 2. The nature and extent of any transactions or presently proposed transactions which
has been established to govern how they approach emergency maintenance needs arising from sudden climate change impacts (e.g. extreme storms) The issue has training, capacity and governance arrangements
Rule for Acquisition and Disposition of Assets of Listed Companies. This disposition of asset has the objective to generate cash for the new projects which is for the best interests of the Company and
operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval
considered and validated KUB to be traded in the digital asset exchange by non-compliance with the Listing Rule approved by the SEC and disregard for the conflict of interest prevention measure. DAB Act S