interpretation of the “Executive” in relation to “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager” Regarding the Notification of the
over five years per period 2.1.2 Qualification of Approved Auditor An auditor to be granted approval by the SEC shall possess qualifications of an individual person and of the firm to
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that the organization structure of is designed or efficient measures installed to prevent conflicts of interests effectively. (2) Where the person appointed as a fund manager is an employee of the
that the organization structure of is designed or efficient measures installed to prevent conflicts of interests effectively. (2) Where the person appointed as a fund manager is an employee of the
their duties for the best interests of the company. Therefore, A person who has a conflict of interest must not do business which is in competition with the company. There must be no related party
. Summary of regulations 1. Limitations on unitholding over one-third of the total outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 2. Rules
. Summary of regulations 1. Limitations on unitholding over one-third of the total outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 2. Rules
). The award may induce the counsel to take part in the case and to facilitate the Class Action litigation for the injured person. I n addition, the plaintiff and the counsel for the plaintiff are the
after a specified period. The guarantor shall be a juristic person (not the mutual fund supervisor of that fund) such as bank or financial institution incorporated under a specific law, commercial bank