Microsoft Word - E-0075 (Translation) No. CK-17-0000-PO-L-0075 November 15, 2017 Re: Notification of Cancellation and/or Suspension of Land Purchase under the Resolution of the Board of Directors
Name Head Office Data not found Note : * refers to inactivated derivatives broker Registered Derivatives Broker is able to engage in derivative business only with Institutional Investors Investor which
inactivated derivatives fund manager Registered Derivatives Broker is able to engage in derivative business only with Institutional Investors Investor which is a financial institution under the Commercial
able to engage in derivative business only with Institutional Investors Investor which is a financial institution under the Commercial Banking Act, securities company, non-life insurance company, life
not found Note : * refers to inactivated derivatives advisor Registered Derivatives Broker is able to engage in derivative business only with Institutional Investors Investor which is a financial
trust manager, as well as overseeing the trust manager’s performance of duties as prescribed in the trust deed; (5) Only institutional investors and ultra-high net worth investors* shall be eligible as
migrated to the new structure (auto migration). The SEC Board has approved the revision to the principles. The SEC has therefore drafted 14 ministerial regulations and a notification concerning the
complaint by the SEC is only the beginning of the criminal enforcement process. As to whether any persons are offenders shall be subject to the investigation of the inquiry official, the prosecution of the
market auditor during 1 February to 30 June 2022 and take advantage of the reduced application fee. We believe this measure will not only help to increase the number of auditors in the capital market