, and investment supervision and control system of the investment advisory company, persons with power of management and advisors; (2) providing a compliance supervisor of investment advisory company
Company and the subsidiary operating the core business according to the details in Attachment 1 as well. 10.3 Company secretary and the person assigned with direct responsibility for accounting supervision
assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and coordination in case of a foreign company Attachment 2: Details of the
banking business and is under the supervision of an entity which has similar supervision to that of the Office; (4) “Securities business operator” means (a) Any company licensed to undertake securities
management company who manages the mutual fund under its supervision more than five percent of the outstanding shares, including shares held by connected persons of such fund supervisor; (3) Do not have the
supervision of the operation of the full-service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the securities company within thirty days as
shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing
company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive
Assets of a Securities Company dated 4 January 2000 shall be repealed and replaced by the following texts: “(2) a financial institution whose core businesses are already under supervision and are licensed
information relating to ASEAN CIS, the Qualifying CIS Operator and its appointed distributors, representative, trustee and custodian. I/We hereby certify the following: 1. I/We am/are under supervision of Home