auditor shall make rectification to obtain the prescribed qualifications within one hundred and twenty days as from the date of lacking such qualifications, except where an exemption has been granted by the
under the application for approval as prescribed in Part 2: (1) although the applicant or the offer for sale of securities has characteristics or forms in accordance with the requirements or conditions
the securities company start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange
Office approves the establishment of the full-service branch office and online branch office, provided that on date the securities company start-up an operation, it meets the following qualifications; (1
derivatives broker start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange Commission
branch office, provided that on date the derivatives broker start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification
Exchange Commission does not imply that the legal or regulatory requirements have been complied with. The Office of Securities and Exchange Commission has not, in any way, considered the merits of the shares
disclosure of information contained in the registration statement (if any). C. Auditors Provide the names, addresses and professional qualifications (including any membership in a professional body) of the