) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by the Office shall be positive. In case where the securities company increase its paid-up capital
governing the maintenance of financial status of a licensed derivatives broker; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by the Office
been audited by an auditor approved by the Office shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such
) Statutory Disqualifications for Management (section 103) Accounting and Records (section 105) Audited Financial Statement & Auditor Approval (section 106) Public Disclosure (section 108) Reporting and
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