e-service Online Submission See canceled document Executives of securities companies and personnel in securities business >> Approval and Qualifications Type Title Section See Document Status
e-service Online Submission See canceled document Business Operation Rules >> Approval & Qualifications (Section 90, 91) Type Title Section See Document Status Notified Date Effective Date 1. Act
e-service Online Submission See canceled document Derivatives Agent >> Approval & Qualifications (Section 24) Type Title Section See Document Status Notified Date Effective Date 1. Notification of
e-service Online Submission See canceled document Derivatives Dealer >> Approval & Qualifications (Section 24) Type Title Section See Document Status Notified Date Effective Date 1. Notification of
Derivatives Exchange Licensing _______________ Clause 4 An applicant for the derivatives exchange license shall be a public limited company with the following qualifications: (1) having the registered capital
the criteria for considering the qualifications of bond issuers with a record of using the funds for a wrong purpose. Additionally, the SEC is proposing to revise the wording in the relevant
August 2023, whereby most respondents agreed and gave suggestions on matters such as determination of qualifications of the association applying for approval to ensure that the association has knowledge
regulations. The major changes that will be introduced by the SEC’s proposal include: (1) To revise the qualifications and licensing process for the securities companies that wish to apply for investment