example, Manager Z is considered as the “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager". Since this position is lower than “the
(a non-discretionary account) since it is not considered a practice of private fund management. Execution of Agreements for Management of Private funds or Provident Funds Management of private funds
Accounting or Finance Department whose rank is not lower than departmental manager". Since this position is lower than “the first four executives succeeding the manager [and every person holding the position
management company may postpone a redemption payment upon approval of the mutual fund supervisor, since there is an event that prevents the company from receiving payment from securities or assets on a regular
manipulation (Section 244/6) 1. Opening a joint bank account for making a payment or receiving a payment related to or because of a securities trading; 2. Allowing any person to seek benefits by using
approval for EJIP must be submitted to the SEC because the offer for the sale of shares to executives must be reported pursuant to section 59 of the Securities and Exchange Act which may be burdensome and
shareholder in accordance with the form specified by the SEC Office as follows: (1) in case where any person would be major shareholder because company increased its capital, securities company shall file an