the purpose of this Section, a beneficial owner of shares shall mean any person with direct or indirect power to: (1) direct or control the exercise of voting rights in a derivatives business operator
for the person under (a) to be able to independently exercise the right to vote in accordance with the rules in (b) in the case where the matter requiring the vote has a conflict of interest with the
such instrument to receive money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus" means any document issued for the purpose of inviting
the contract (physical delivery), or a party may make cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or
“ controlling person ” shall have the same meaning as defined in the Notification of the Securities and Exchange Commission concerning Determination of the Definitions in [Other] Notifications relating to
or person who may have conflicts of interest that may impede the exercise of independent judgment, and any relationship that causes the inability to freely give comments on the operation of the
. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 1/2548 Re: Rules for the Exercise of Fund’s Voting Rights at the
procedures concerning the payment of the trustee’s own money or property to the third person under the first paragraph or the exercise of trustee’s right under the second paragraph. SECTION 42 A trustee shall
category of mutual fund or private fund management, or derivatives investment management company; “ fund ” means mutual fund and private fund; “ investor ” means any person interested in investing in capital
such person is appointed or assigned, until the condition specified by the SEC Office is completed or the period specified by the SEC Office elapses. Clause 35 [i] In order to exercise power to reject an