outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 2. Rules for considering Associated Persons 3. Procedure to comply with the limitations (the case
outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 2. Rules for considering Associated Persons 3. Procedure to comply with the limitations (the case
disagrees with, an administrative order has the right to appeal such order. The appeal procedure is provided by the SEC Regulation concerning Filing, Considering and Making a Decision on the Appeal of the
. Primarily, the company has recommended suitable investments after considering the risks acceptable by the clients while focusing on protecting and safeguarding the best interests of the investors. 1.4 The
. Primarily, the company has recommended suitable investments after considering the risks acceptable by the clients while focusing on protecting and safeguarding the best interests of the investors. 1.4 The
indicated by considering demand / supply, for instance, a price acquired by book building A fair price calculated by a financial advisor Criteria for protection of shareholders a. Notice of calling the
being in breach of the terms and conditions of the debt securities. Face value of bills - - - - Fast track - - - - Period of time required in observing + considering the application - - 15 days for the
track - - - - Period of time required in observing + considering the application - - 15 days for the consideration. Observation and consideration period take 90 days and 30 days respectively. Application
- - - Available only if the issuers' qualifications meet the requirements. Period of time required in observing + considering the application - - 15 days for the consideration. Fast track: Observation = 10 days if
- - - Fast Track - - - Period of time required in observing + considering the application Observation and consideration period take 45 days and 30 days respectively. Observation and consideration period take