will be major shareholders of the securities companies, as follows: (1) major factor which is the facts that the Office give more weight than other facts in considering, as follows: (a) the scope of
appointed or assigned by a fund management company to consider and determine the scope of investment of mutual fund, private fund or derivatives investment management; “ investment management assistant
, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a
issuer and those who have an opportunity to make use of such inside information ; (4) clear scope of authority , duty and responsibility of directors, executives and work units. Clause 7 A securities
consider and determine the scope of investment of mutual fund, private fund or derivatives investment management. “ investment management assistant ” means a person who performs the duty of assisting
: ............................................................................................................................... 2. Starting Date of Operation: ............................................................................................................ 3. Details of the Company: 3.1 Scope of operation of the
customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work
………………… company List of supplementary documents to the application for approval: O an organization chart of the company; O detail of scope of duties and responsibilities of the positions applied for approval; O
post issuance reviews of selected engagements as part of its monitoring procedures? If yes, please provide us engagements review program and the scope of the review. B Evaluating, Communicating, and