File Description 1 Approval of securities licenses, derivatives licenses trustee license and digital asset license Quarter 4/2024 2 Activation of securities business, derivatives business trustee

business sectors. In so doing, the SEC cooperates and discuss with the Association of Investment Management Companies (AIMC) to amend the regulations for calculation and announcement of net asset value

Trading plans without being regarded as carrying out the securities business of private fund management or derivatives fund management, respectively. These rules have been in effect from 16 May 2019

act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval

person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval and approval for appointment of an

in management relating to derivatives business, such as risk management committee, investment committee, or operation supervision committee, etc. Clause 2. As regard the application and approval for

in order to oversee a juristic person or business over which one has the management power or operates under one’s supervision. The acts of the three persons stated above constitutes a failure to

, investment consultant, investment planner or agricultural commodity trading management official has been granted and the period of such approval has not ended, the following rules shall apply: (a) in case the

of the following year. In case an approval to be which one of investment analyst, investment consultant, investment planner or agricultural commodity trading management official has been granted and

provide the five-step wealth advisory service under the scope of their licensed business. Other interested business operators may submit an application for approval to SEC and SEC will consider their