private fund management; “connected person” 3 means the following persons unless otherwise prescribed herein: (1) a person with a relationship or connection to a management company or a fund according to
Paragraph 1 shall be based on the trading value of each transaction. (12)3 repealed; (13)2 “ connected person ” means the following persons; (a) connected person under the Notification concerning Conduct
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
/1) “ connected person ”: (a) in the part relating to offeror means “ connected person ” in accordance with the Notification of the Capital Market Supervisory Board concerning Subscription
connected transactions with the persons who may have had a conflict of interest during the previous year and identify the group of such persons, type of relationship (ex. father of a majority shareholder, a
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the
shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the shareholder’s equity
. Stocks right and warrants means value of right issued by the company to the holder in order to purchase an ordinary share or preferred share, including shares issued for increasing paid-up capital warrant
the use of prepared electronic devices which such devices are connected to computer or electronic systems of the head office; “Office” means the Office of the Securities and Exchange Commission. Clause