company being held, or an individual holding shares of the company in any subsequent level in the number of exceeding fifty percent of the total paid-up shares with voting rights of the company being held
manner as specified by Clause 6 as the third category of prohibited characteristics. Clause 4 The followings shall be classified as the first category of prohibited characteristics: (1) being a person who
; (c) being the manner of inappropriate investment as a professional; (d) bringing about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting
; (c) being the manner of inappropriate investment as a professional; (d) bringing about [i] conflicts of interest with the client or [ii] unfairness to the client; (9) having a system for protecting the
shareholders fairly by giving benefits to any group of shareholders, which will create an advantage over other shareholders or give inappropriately more benefits than other shareholders; 2. being unlikely to be
matter which form is, for providing services, whether all or some parts, to clients as permitted by its license and being which one of the following offices: (1) domestic branch office; (2) oversea branch
intermediary. “branch office” means a branch office of an intermediary, no matter which form is, for providing services, whether all or some parts, to clients as permitted by its license and being which one of
intermediary, no matter which form is, for providing services, whether all or some parts, to clients as permitted by its license and being which one of the following offices: (1) domestic branch office; (2