follows: (1) in cases where a securities company appoints a new person as director or manager, or in other cases than (2), the securities company shall submit to the SEC Office the following documents which
company; (5) “commercial bank” means a commercial bank under the law governing financial institution business. Clause 2 In the case where the person who is a director or executive of a trustee or an
, executive or employee of other company that undertakes the business in similar manner or competes with the business of management company except where management company demonstrates that the organizational
’ meeting relating to the consideration of the regulations applied for approval, together with supporting documents, such as regulations of foreign countries governing similar matters. In the case where the
of identical written form and one of which shall be given to clients as evidence. In cases where the service contract of securities registrar is lost or damaged and clients request the securities
to seek proper solutions.ASCO came up with a quality enhancement plan for investment analysts and investment research where brokers will be required to have adequate number of analysts and produce
high-risk or complex characteristics outside the offices of intermediaries shall comply with the regulations under Chapter 7. Clause 4 In cases where there is a necessary and reasonable ground, the SEC
number, facsimile number, the number and type of the total shares sold of the juristic person whose 10 percent or more of the total shares sold is held by the Company. 1.3.2 In the case where a person with
held by the Company. 1.3.2 In the case where a person with a potential conflict of interest holds shares of a subsidiary or associated company at an amount exceeding 10 percent of the voting shares of