Other Applications when the application and the evidentiary documentation are accurate and complete in compliance with the Licensing Manual for the Public. In the case where it is necessary for the SEC
holding other company?s stocks ("holding company"). The amended regulations specify that holding company must hold shares in its subsidiaries that are categorized as its core business (either established in
preparation of consolidated financial statements as prescribed by the Federation of Accounting Professions; (4) PVDs will be allowed to invest in assets categorized as alternative investment which
, but only with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of
with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of Clause 23
trading or investing in capital market product , without planning or analyzing of investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment
investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment consultant providing consultation only on capital market product not having complex
mutual fund issue and deliver certifying documentation of rights over investment units? And how? (b) In what cases and conditions may the rights of the mutual fund unit holders be restricted and how? In
as prescribed by relevant Notifications of Capital Market Supervisory Board. Clause 14 For the arranging and keeping information, document or evidentiary documentation, an intermediary shall operate