securities business in the following categories: (1) mutual fund management; (2) private fund management; or (3) brokerage, dealing or underwriting, excluding brokerage, dealing or underwriting limited to debt
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
be a qualified person with independence, objectivity and required competency; (3) Update the requirements per current standards and guidelines to be in alignment with international standards and other
, investors do not need to go to a branch of the service provider to fill in the same information set in person. This is another step towards digital transformation of the capital market. The single form helps
? to AI and the summarized significant features of securities (fact sheet) must specify that the product is allowed to offer to AI only. In addition, asset management company will be allowed to establish
in the holding of individuals, thegroup percentage of acquisition/disposition, the group percentage after theacquisition/disposition and the person(s) under Section 258 of the Securities and Exchange
incorporation in the amount of more than 10 percent of the total number of the voting rights of such incorporation. In this regard, the shares held by such person shall be included in the number of shares held by
” means a prospectus which is identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading
identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading price of investment units of an