) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
period of time that the SEC could refuse to accept the application. Lead appraiser Being full time casual worker or employee of the applicant; Practicing on asset appraisal continuously for not less than 1
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fund manager with the following qualifications : (1) In the case of the selected fund manager being a director, executive or employee of another company, the mutual fund management company shall prove
the SEC Employee Stock Option Program (ESOP) Shareholders Director/ employee Dilution effect Access to information Require approval of the shareholders Self-preservation of rights/ general
make an argument with evidence against the allegation before the SEC commences the consideration of the case except when it is necessary and appropriate for the SEC to take a prompt action to prevent