first four executives succeeding the manager [and every person holding the position equivalent to the fourth rank]" by more than one tier, all higher-level-positions in the same hierarchy pillar must be
× Home > Laws/Regulations > Discussion Discussion SHARE : Detail Content The interpretation of the “Executive” in relation to “person holding executive position in Accounting
Operators > Asset Management Regulations Regulations SHARE : Detail Content A Gathering of all Asset Management Regulations Regulated Entities ○ Licensing/Registration • Mutual Fund Management
. Summary of regulations 1. Limitations on unitholding over one-third of the total outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 2. Rules
). The award may induce the counsel to take part in the case and to facilitate the Class Action litigation for the injured person. I n addition, the plaintiff and the counsel for the plaintiff are the
) Group 2: Constituting an unfair advantage over investor by exploiting the inside information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses
89/7; (4) allowing any person to use one's own securities trading account or banking account for payment of securities trading, or using any person's securities trading account or banking account