external parties (7) shareholding structure, both direct and indirect (8) the company’s group structure, including subsidiaries, affiliates, joint ventures, and special purpose enterprises/vehicles (SPEs
. The SEC will make an appointment for an on-site inspection of the work system 3. Filing the original documents: 3.1 Download an application form for approval of wealth advisors from the SEC's website
original scheme; 4.2 The unitholders received the investment capital and the returns upon expiration of the closed-end fund as specified in the original scheme; 4.3 The fund was converted to an open-end
guarantee. (2) Where the arrangement with a new guarantor will cause fees to increase by more than 25% of the original rate for the latest guarantee period, the mutual fund management company can make such an
deemed appropriate: direct investment with ownership in the assets: suitable for infrastructure assets with transferable ownership such as infrastructure of private entities; investment in income
Making an initial and direct contact with the compliance unit of the securities / derivatives intermediary under complaint would allow the intermediary to rectify or take necessary action before further