. In this Notification: (1) The term “Executive” shall have the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics
Notification: (1) The term “Executive” shall have the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and
Qualifications and Other Prohibited Characteristics of Directors and Executives of Securities Companies (Codified) (Synopsis) 03/08/2009 01/09/2009 5. Notification of Capital Market Supervisory Board TorThor
Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> Registration and Qualifications Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and Exchange Act
Regulation |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications
Licensing |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications
Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting Requirements |- Fees