working hours of the associations for inspections. The related persons should facilitate assistance and convenience reasonably. The associations shall prepare and maintain a copy of a membership register at
Institutional Investors (II) Private Placement to High Net Worth Investors (HNW) Public Offering (PO) Qualifications and approval rules - Applicable to the offering of bonds only. - For the offering of bonds, the
) Public Offering (PO) Approval Qualifications and approval rules - Applicable to the offering of bonds only. - For the offering of bonds, the approval will be granted upon the registration of the
considered as executive as well. Therefore, both Manager Z and Assistance CFO Y are regarded as “executives". Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations Ministerial
equivalent to the fourth rank]" by more than one tier, all higher-level-positions in the same hierarchy pillar must be considered as executive as well. Therefore, both Manager Z and Assistance CFO Y are
rules for the trading, clearing and settlement of securities must be approved by the SEC Board. In the case where there are adverse effects to the public or the economy, the SEC Board has the powers to
rules for the trading, clearing and settlement of securities must be approved by the SEC Board. In the case where there are adverse effects to the public or the economy, the SEC Board has the powers to
: * General functions include; for example; risk management, inspection and internal control, compliance, etc. **Central utility functions include the functions such as support services for investment units
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