category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to
. Clause 3. In this Notification, “Securities company” means any company licensed to undertake securities business in the category of securities brokerage, securities dealing, investment advisory services
management and supervision of the operation of the full-service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the derivatives broker within
management and supervision of the operation of the full- service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the derivatives broker
with document evidence showing the details of plans for management and supervision of the operation of the full- service branch offices managed by the same manager. The Office shall consider and notify
Assets of a Securities Company dated 4 January 2000 shall be repealed and replaced by the following texts: “(2) a financial institution whose core businesses are already under supervision and are licensed
Company dated 4 January 2000 shall be repealed and replaced by the following texts: “(2) a financial institution whose core businesses are already under supervision and are licensed subsequently to operate
Performance; (2) Securities Business Report; (3) Other reports as required by the SEC Office for the purposes of supervision and inspection of securities companies’ status and operations. Clause 2 Any