step ensures that the measure to be taken is appropriate, practical and respectful to stakeholders’ rights 6. The proposed rule is considered by the relevant sub-committee The sub-committee members
capital management under Clause 1 means mobilizing of funds from institutional investors specifically for the purpose of setting up a venture capital juristic person, applying for registration of such
Department whose rank is not lower than departmental manager" as to whether it includes every person whose title is departmental manager. Specifically, if the CFO in some companies holds higher position than
within three business days and about action plans to be taken at the discretion of the mutual fund management company in the best interest of the unitholders. The remedial measures should be performed and
within three business days and about action plans to be taken at the discretion of the mutual fund management company in the best interest of the unitholders. The remedial measures should be performed and
issuers will be taken into consideration along with the disclosure of financial positions and operating results in the prospectus. Credit rating agencies are considered to have the responsibility of
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
person whose title is departmental manager. Specifically, if the CFO in some companies holds higher position than departmental manager and oversees the Accounting and Finance Department directly, whether
from a person who is required by law to specifically take responsibility. - The debenture holder representative or the mutual fund supervisor fails to act in compliance with his or her power and duties
competence or taken professional course prescribed (if any). Registration with the institute of appraisal profession It shall be deemed that an appraisal company and natural person, who have been registered