following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an offense relating to property committed with dishonest intent; (3) Having been an
approval is revoked or suspended for the remaining approval period by the SEC. 7. Prohibited characteristics (1) being put under receivership by the court's order; or being an insolvent
remaining approval period by the SEC. 7. Prohibited characteristics (1) being put under receivership by the court's order; or being an insolvent, incompetent or quasi- incompetent person, (2) being
. SECTION 139. In managing a private fund, the securities company shall be prohibited from: (1) investing in any assets for the person authorizing the management of the private fund other than those agreed
following issues: 1. prohibited action possibly constituting conflicts of interest, especially the actions as prescribed in Clause 16 unless it is an action allowed by [other clauses of] this Notification; 2
Market Supervisory Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 April 2014 unless: (1) Clause 42(8) relating to comparative results of mutual
Capital Market 6 ______________________ Clause 15 The auditor in the capital market shall not possess any prohibited characteristics as follows: (1) being put under receivership by the court’s order; or
derivatives business operator is an individual, such individual shall not have any of the following prohibited characteristics: (1) being a person under receivership or a bankrupt; (2) being an incompetent or