used in legal proceeding in case of violation. Whistleblower protection ● Any employee or worker who provides information or cooperation by giving a tip, testifying or submitting useful documents for
) 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
) 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
deemed appropriate: direct investment with ownership in the assets: suitable for infrastructure assets with transferable ownership such as infrastructure of private entities; investment in income
deemed appropriate: direct investment with ownership in the assets: suitable for infrastructure assets with transferable ownership such as infrastructure of private entities; investment in income
Making an initial and direct contact with the compliance unit of the securities / derivatives intermediary under complaint would allow the intermediary to rectify or take necessary action before further
. Doing CSR is an investment that may not give short-term direct return but it will build strong foundation for business aiming for sustainability. Q: Is donation considered CSR? A: Donation can be
external parties (7) shareholding structure, both direct and indirect (8) the company’s group structure, including subsidiaries, affiliates, joint ventures, and special purpose enterprises/vehicles (SPEs
projects which have not yet generated commercial revenue. Investments in infrastructure assets Three Types of qualified investments are: direct investment through obtaining ownership of assets