specified in the relevant Notifications of Capital Market Supervisory Board. Independent directors are an important part of the oversight to promote good corporate governance and protect company’s and
transfer orders from the unitholders. (5) In the case of fund dissolution, the mutual fund management company shall transfer the units to other RMFs without charging any fees. (6) In the case that the
. ● Documents relating to settlement / cash deposit to or withdrawal from a trading account, for instance: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing securities
: (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 act pursuant to the criteria of related party transactions. Additional requirements for warrant – PP Approval for warrant – PP must be registered with transfer restrictions. In case of an
2019 whereby clients will no longer be able to purchase, sell or trade digital assets via Bitcoin website ( SEC News No. 105/2019 ) SEC warns BX clients to keep away from unsolicited transfer of
- Applicable to the offering of bills and bonds. - For the offering of bonds, the approval will be granted upon the registration of the transfer restriction, features of bonds, draft terms and conditions and a