where the amount of shares allocated to subscribers exceeds the underwriting amount; (8) “provider of over-allotment shares” means a securities underwriter who is obliged to provide over-allotment shares
cases where the amount of shares allocated to subscribers exceeds the underwriting amount; (8) “provider of overallotment shares” means a securities underwriter who is obliged to provide overallotment
business in the category of derivatives broker or derivatives dealer; “ investment limit ” means the investment limit of capital market products denominated in foreign currency which is allocated by the SEC
than the report as specified under the first paragraph, in case the offeror has seperated some shares specifically allocated to the patron , the offeror shall prepare a name list of 200 persons receiving
paragraph, the interest shall be allocated to another beneficiary or other beneficiaries. SECTION 14 A trust instrument without the following particulars and statements shall be void: (1) names of a settlor
insufficiently allocated at a specified level; (3) establishment of policies and measures on information security under Clause 8 and Clause 9. Clause 6 An intermediary shall have in place information technology
discharge of the responsibilities allocated to them, and having honest behaviors without notorious background. In case the personnel under the first paragraph are required to obtain an approval from the SEC
or paid from disposal or purchase the investments in subsidiaries and associated companies, except cash flow from interests receipts and dividend receipts which allocated as cash flows from operating
persons in (1), (2), or (3), or had but such person died before the payment is made, the portion of the payment otherwise entitled to such person shall be allocated to the persons who are alive in the
undertaking its business, with the knowledge, skill and expertise necessary for discharge of the responsibilities allocated to them, and having honest behaviors without notorious background. In case the