” 3 means a fund established for employees of multiple employers. “wages” means the money paid by the employer to the employee as remuneration for working, whether determined, calculated or paid as the
” means a securities company licensed to undertake securities business in the category of securities underwriting; (5) “executive” means a manager or an employee holding the position of departmental manager
underwriter” means a securities company licensed to undertake securities business in the category of securities underwriting; (5) “executive” means a manager or an employee holding the position of department
owner in shares under the fourth paragraph of Section 24, a director, an officer or an employee of such derivatives business operator. Furthermore, the auditor shall also adhere to the ethical code of
held by a fund at an amount more than seventy five percent of its outstanding shares and representing more than seventy five percent of its total voting rights; (f)7 the debt instruments issued by the
held shares of the management company exceeding five percent of the total outstanding shares of the management company (2) Such person has held shares of the person under (1) exceeding thirty percent of
services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by
not be a director, officer or employee of the securities company. The securities company shall publish its balance sheet and profit and loss account prepared in accordance with the first paragraph for
securities company , the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities company . Clause 5 The provisions in Clause 19
ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the following questions: - Who does this? - How often is it done? - Have there been any such situations during