prescribed; Being able to demonstrate that such person is acknowledgeable and capable person in valuing the asset for widely used appraisal as prescribed; Not appearing that he possesses prohibited
fund management under this Ministerial Regulation whose shares are held by any legal entity under Sub-clause (1) to (5) in aggregate amount of not less than fifty percent of total shares sold. Clause 3
public limited company newly established for operating securities business in the category of mutual fund management shall- (1) have a paid-up registered capital not less than the amount specified in the
information for trading securities or entering a derivatives contract related to such securities, either for the benefit of oneself or other persons Inside information means information that has not been
Regulation. Clause 2 Applicant for securities business license in the category of investment advisory service which is a legal entity under Clause 1(1) to (5) shall- (1) be able to maintain capital funds and
website by collecting and reporting information on how you use it. The cookies collect information in a way that does not directly identify anyone. For more information on how these cookies work, please see
) corporate resilience Guidelines 1.2.1 In evaluating the performance of the company, the board should not just consider the company’s financial results but also take into account non-financial performance such
, inappropriateness, or deficiencies in performing the duties. FAs may resort to information from a specialist, having verified that the person is truly knowledgeable and competent in that field. FAs shall have a