intermediary who wishes to open an oversea representative office shall have readiness of the following arrangements: (1) work plan for establishment and operation of the office; (2) efficient management system
Notification of the SEC Office. Clause 19 An intermediary who wishes to open an oversea representative office shall have readiness of the following arrangements: (1) work plan for establishment and operation of
the Notification of the SEC Office. Clause 19 An intermediary who wishes to open an oversea representative office shall have readiness of the following arrangements: (1) work plan for establishment and
the duration of possible extension, as well as how this information will be made public. 4. In case the exact dates of the offering period are not known, disclose the arrangements for announcing the
view that the licensee is able to show that it has: (a) already provided sound and effective arrangements for management; (b) policy and effective measures for preventing conflict of interests, leaking
the view that the licensee is able to show that it has: (a) already provided sound and effective arrangements for management; (b) policy and effective measures for preventing conflict of interests
CRA should disclose the general nature of its compensation arrangements with rated entities, obligors, lead underwriters, or arrangers. a. When the CRA receives from a rated entity, obligor, originator
arrangements for the trust which shall be made under and in compliance with the scope, the rules and the conditions prescribed by the trust instrument; (b) the preparation and disclosure of the trust’s