has a relationship with other businesses in such a manner that the experience of the other businesses may apply to the business operation of such juristic person. Clause 11 An intermediary could assign
amended) (the “Notifications on Acquisition or Disposition of Assets”). Should the Fair Price apply in the calculation of the transaction value based on the total value of consideration relative to the
the applicant no longer intends to apply for an approval for offer for sale of newly issued bonds. Clause 8 In case there is any certain fact appeared to the SEC Office leading to any of the following
check national ID card validity via the electronic system of the Department of Provincial Administration (DOPA). (2) Non-face-to-face identity verification: Banks must apply biometric comparison
____________________ Division 1 Application for and Granting of Approval of Financial Advisor ____________________ Clause 46 Any person wishing to become a financial advisor may apply for an approval with the SEC Office
, investment consultant or investment planner has been granted and the period of such approval has not ended, the following rules shall apply: (a) in case the latter approval for such position has the scope of
, investment consultant, investment planner or agricultural commodity trading management official has been granted and the period of such approval has not ended, the following rules shall apply: (a) in case the
transparency of securities markets, and reduce systemic risk. The Principles apply to all types of CRAs operating in various jurisdictions. However, to take into account the different market, legal, and
the period of such approval has not ended, the following rules shall apply: (a) in case the latter approval for such position has the scope of duties exceeding the earlier approval, the period of the
has not ended, the following rules shall apply: (a) in case the latter approval for such position has the scope of duties exceeding the earlier approval, the period of the previous approval shall end on