the Securities and Exchange Commission personal data any information that can be used to identify a natural person, both directly or indirectly, but shall not include, in particular, any information
charge; otherwise, a civil lawsuit is an option. The SEC has no authority to handle a claim for compensation or proceed with a civil dispute. Should you need legal advice on such matters, please contact a
environmental issues, for example, global warming, and degradation of natural resources, more severe nature disasters, social disparities, and corruption. Any one of these issues could bring about damage to
approval. However, if a mutual fund management company files an application for automatic approval not in compliance with the specified conditions, the SEC may proceed with one or more of the following
Minister’s approval under Clause 6, the approved person shall proceed with establishment of new limited company or public limited company for operating securities business in the category of private fund
competence or taken professional course prescribed (if any). Registration with the institute of appraisal profession It shall be deemed that an appraisal company and natural person, who have been registered
, approved person shall proceed with establishment of limited company or public limited company to undertake securities business in the category of inter - dealer brokerage. Newly established limited company
, however, the public relations department may be responsible for the job. In such case, must the job be transferred back to the company secretary? And how should the company proceed? A: By law, the company