qualification under (3) or (5), the securities company may be granted an approval from the Office only when the securities company cause the relevant executive or personnel who rendered the company into such
settlement of dispute between the securities company and the customer. In the case where the securities company lacks of qualification under (3) or (5), the securities company may be granted an approval from
investment management; Clause 3. The securities company shall advertise any mutual fund only after the company has submitted an application for approval of such fund’s establishment to the Office. In cases
fund only after the company has submitted an application for approval of such fund’s establishment to the Office. In cases where the application for establishment and management of the mutual fund has
obtain prior approval in accordance with Clause 19. In cases where the securities company has submitted the contents of an advertisement to the Office, and the Office does not make an objection within five
ranking as the number one in the country of debt management business for Non-Performing Loans (unsecured loan). It is due to the situation of household debt in the country that has been increasing in the
in the category of derivatives dealer under the law of such foreign country; this is limited to only apply for derivatives dealer registration; (4)1 financial institution established under specific law
category of derivatives dealer under the law of such foreign country; this is limited to only apply for derivatives dealer registration; (4) 1 financial institution established under specific law; this is