The Approval of Personnel in the Capital Market Business
circumstance: (1) persons under Clause 5, Clause 6, Clause 8 and Clause 9 who has to obtain approval from the SEC Office only; (2) the highest level responsible person in the compliance unit under Clause 7(4
current circumstance, the issuer needs to rectify any illegal business activities in accordance with the board definition prior to obtaining an IPO approval. This could delay fundraising and consequently
order or an action which results in the offence that the company offered digital tokens to the public without an approval from the SEC Office. The Court of Appeal adjudicated that the defendant was guilty
of conduct specified by the SEC Office, or by the Association of Investment Management Companies with approval of the SEC Office; (3) the professional ethics and standards specified by the Association
therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
Rules on Application for and Granting of Approval to Undertake Trust Business (No. 2)
Rules, Conditions and Procedures for Approval of the Securitization Project (No. 2)
Re: Application and Approval for Offer for Sale of Structured Notes
Re : Application for and Approval of Offer for Sale of Newly Issued Debt Securities