Committee issues an order to impose fines on such person, or from the date when a decision of an agency having the power to supervise or consider such behaviors is issued. Factors which may be taken into
for the custody of client’s assets. In this matter, the securities company must strictly supervise the implementation of such guidelines. The rules or guidelines under the first paragraph must include
for the custody of client’s assets. In this matter, the securities company must strictly supervise the implementation of such guidelines. The rules or guidelines under the first paragraph must include
Office and shall also supervise the investor contact to act in compliance with such rules. A Securities company may appoint any person who is not an investor contact to contact, solicit, or give any
prescribed by the notification of the Office. The securities company shall act in compliance with rules prescribed by the Office and shall also supervise the investor contact to act in compliance with such
securities company shall act in compliance with rules prescribed by the Office and shall also supervise the investor contact to act in compliance with such rules. A Securities company may appoint any person
; (2) to supervise the special purpose juristic persons to ensure their compliance with this Royal Enactment; (3) to prescribe types of assets and securities which may be approved for securitization and
date, time and venue of the Extraordinary General Meeting of Shareholders No. 1/2018 if the Company faces any problem in preparing the documents and information which results in any delay in preparing
economic environment, the growth of commercial bank lending will likely slow. Banks will closely and continuously monitor loan portfolios and adopt cautious lending policies. This, coupled with the Bank of
specified characteristics: (1) monitor to acknowledge possession of any unqualified characteristic of the directors, executives, and controlling persons as prescribed in Clause 23. In case there is a certain