2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice
date when the SEC Office has received the complete and accurate application together with the evidentiary documentation in accordance with the Licensing Manual for the Public. Clause 8 Any person who
has received the complete and accurate application together with the evidentiary documentation in accordance with the Licensing Manual for the Public. 1 Amended by the Notification of the Office of the
following qualifications: (1) Have the complete qualifications and registered as qualified person for being fund supervisor as specified by the Notification of the Office; (2) Do not hold shares of the
qualifications: (1) Have the complete qualifications and registered as qualified person for being fund supervisor as specified by the Notification of the Office; (2) Do not hold shares of the management company
application for derivatives business operator registration within sixty days from the date of receiving the correct and complete application and evidential documents. Clause 6/1 In case where registered
registration within sixty days from the date of receiving the correct and complete application and evidential documents. Clause 6/16 In case where registered derivatives business operator has ceased the status
that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to
, complete and up-to-date. Also, the derivatives broker shall submit clients in accordance with the rules specified in the notification of the SEC Office. Clause 5. Derivatives broker shall not engage in any