offering for sale in foreign countries which have similar characteristics or conditions to capital market products under (a) (b) (c) (d) or (e); (2) bonds having high-risk or complex characteristics
have risen abruptly, especially the rapid evolution of digital technology, intensified effects of climate change, and regulatory changes in the financial business. To cope with these issues, most
performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as
and submit financial statements and reports on its financial position and operating results to the SEC Office; (3) an issuing company whose registration statement and draft prospectus have been filed
audit fee Agenda 7 To consider and approve the entering into assets disposal transaction between the Company and investors and approve person(s) assigned by the Board of Directors to have the authority to
branch office shall have the following qualifications: (1) having net capital or shareholders’ equity as follows: (a) in case the intermediary is under the regulations concerning net capital 1 , such
intermediary who wishes to establish a domestic or oversea branch office shall have the following qualifications: (1) having net capital or shareholders’ equity as follows: (a) in case the intermediary is under
1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and