: offering price CD : offering price of CD divided by convertible rate Warrant : offering price + exercise price Shares with
: (1) Notify the unitholder registrar to acknowledge the limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine
: (1) Notify the unitholder registrar to acknowledge the limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine
company must arrange to have a monitoring process for the allocation to comply with the decision of the board of directors. For instance, an internal auditor may be assigned to monitor the allocation, etc
Criminal action is a type of law enforcement against any person who acts or omits to act in violation of the laws administered by the SEC. Criminal actions are divided into two groups, namely: (a) criminal
the date of receiving the license or pay not more than five annual installments divided equally. In case of installments, the first installment shall be paid on the date of obtaining the license and the
redeemed over two-thirds of the outstanding units in five consecutive business days Addition of all redeemed units in the previous five days is divided by the number of outstanding units at the starting
redeemed over two-thirds of the outstanding units in five consecutive business days Addition of all redeemed units in the previous five days is divided by the number of outstanding units at the starting
licensee shall pay the license fee in accordance with Clause 6, provided that it may choose to pay a lump sum on the date of receiving the license or pay not more than five annual installments divided
– in case of a listed company Criteria for approval: can be divided into four cases, depending on the nature of share price indication based on the resolution of the shareholders' meeting. 1 st case