investment advisory service under the Law on Securities and Exchange. 3 Clause 4 This Notification shall apply to application for license and issuance of derivatives business licenses as follows: (1
businesses; (d) the juristic person is related or 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
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