. TorThor. 8/2551) To be filed before the commencement date of branch office. Notifying Report on Location Change of Headquarter, Full Branch, or Cyber Branch (Form 98(9)-1) (Notification OrThor. 12/2543
itself or assigns other persons to manage this portion of other assets. Due diligence on real estate to be invested Physical issues including location, usage conditions, entrance and exit, useful
Qualifications Main duties of a Trust Settlor/Trust Manager Qualification s Being an asset management company or a non-asset management company No records of infringements or negligence of material issues
service under this Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary for inspecting the
. Regulatory Summary Main Duties of a Trustee Ensure that the trust deed is executed in compliance with the laws Appoint a trust manager Prepare a trust property account in separation from any other accounts
of private fund management under this Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary
for securities business license in the category of mutual fund management under this Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place
Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary for inspecting the applicant’s financial
such a way that obstructs securities trading of other persons, which causes other persons to place a trading order at a higher or lower price than it should have been. 1. Trading of securities for
mandatory. Securities companies without custody services for clients' assets: arrangements for any mechanisms or undertakings in place of the tasks of an audit committee. Qualifications of Audit Committees