Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and
the counterparty will not be able to repay debt, the applicant?s loss will increase from that mentioned in (1).(3) Relationship between the applicant and a counterparty and rationale behind the
In the second phase of the “ESG Product Platform” development, the SEC has introduced further information and details on “sustainability-themed bonds”; e.g., the list of top 10 issuers, detailed
has not been completed yet and is still in the process of seeking detailed information from various securities companies and financial institutions. Besides, the information forwarded by the Stock
last year. We are witnessing a profound shift in communication between companies and shareholders—a shift to more regular, candid, behind-the-scenes conversations. We are also seeing investors exert more
example, the necessity behind the sale of such assets, the company’s liquidity position, the availability of adequate funds for debt repayment, and future action plans related to the sale of the
detailed under “Details of UE Group Companies” in 3.1 of the Information Memorandum on the Asset Acquisition and Connected Transactions of U City Public Company Limited (Enclosure 1)), (b) rights in the loan
as detailed in (a) above, at a ratio of 5 existing ordinary shares and/or existing preferred shares to 4 newly issued preferred shares where any fraction of shares would be discarded, at an offering