_____________________________________________________________________ Remark: The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets
_____________________________________________________________________ Remark: The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets
Notification, of an applicant, directors, managers and administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions
) having internal control system which is approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or
, administer and manage any risks which arise or may arisen from conducting business to be at a controllable level which have no impact on undertaking of fund management; (c) determine efficient control
is a result of such person being unconscious or unable to control oneself due to a physical illness or a mental disorder, the offeror is not required to have such person affix signature in the
and skills who is independent from the persons who formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of directors and the SEC Office within ninety days
physical illness or a mental disorder, the offeror of depositary receipts is not required to have such person affix his or her signature in the registration statement; (2) if the reason for such person to be
formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of directors and the SEC Office within ninety days from the day the testing is completed. Clause 36 In
or mental disorder, the offeror would be exempted from arranging for such person to affix signature in the registration statement and draft prospectus; (2) in the case where the cause of the inability