perform duties under Clause 4, an intermediary shall comply with the following rules, as the case may be: (1) for appointing or assigning a person to hold the positions under Clause 5, such person shall
providing services that involves the followings: (a) selecting and assigning personnel having knowledge and understanding of each type of capital market products or services to be seller or service provider
shareholding of the same group: (a) Top 10 highest shareholders; (b) The majority shareholders whose behaviors materially influence management policy-making or the Company's operation (for example, assigning a
taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the
policy-making or the Company's operation (for example, assigning a person to be an authorized director). If the shareholders identified above do not represent the true shareholders, for example, those
Paragraph 1 shall include any business having any of the following chrematistics: (a) distributing products or providing services to the general public, either directly or indirectly, through other
finance companies; (3) repaying debts on behalf of the mutual fund and paying fees, charges, compensation, including any other expenses incurred from the liquidation; (4) distributing to the unitholders
shall: (1) have personnel in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable
having duty as prescribed in the second paragraph of Clause 3(2)(a) shall keep evidentiary documentation or information supporting the reason for allocating shares to any person in the value more than 100
under Clause 4, an intermediary shall comply with the following rules, as the case may be: (1) for appointing or assigning a person to hold the positions under Clause 5, such person shall meet the