investor” means any investor which is a financial institution under the Commercial Banking Act, securities company, non-life insurance company, life insurance company, statutory company, mutual fund, private
investor” means any investor which is a financial institution under the Commercial Banking Act, securities company, non-life insurance company, life insurance company, statutory company, mutual fund, private
Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to undertake in a different manner from
director acts or omits to act constituting non-compliance with Section 89/7 which causes the director, the executive or the related person to obtain undue benefits. The company may bring an action against
subscription of securities; (6) any other conditions necessary to protect the public interest. SECTION 35/1.5 Subject to Section 33, the SEC may grant a waiver of compliance to a company established by and
protect the public interest. SECTION 35/1.5 Subject to Section 33, the SEC may grant a waiver of compliance to a company established by and subject to a foreign law whereby measures for investor protection
company. The auditor of the private fund must adhere to the code of conduct and perform the auditing to provide opinion on the financial statements in compliance with the requirements of the law relating to
SEC may grant a waiver of compliance to a company established by and subject to a foreign law whereby measures for investor protection are prescribed in a similar manner to the measures prescribed in
that the resolution that has been passed that time is not in compliance with the law or that the securities company violates or fails to comply with Section 129/2 or violates or fails to comply with the
; (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