Manual for the Public. In this regard, the SEC Office shall specify the time period for clarification by the applicant in the notifying letter, which shall be no less than fourteen days but no more than
relevant rules and regulations and professional ethics and standards, which is administered by an association or a training institute, for a period of time not exceeding two years on the date of submission
by an association or a training institute, for a period of time not exceeding two years on the date of submission of the application. If the examination on such knowledge has been passed for a period
Auditors dated April 9, 2015. 12.3 The SEC Office begins the period of time for examining facts and considering the application for approval from the date on which the SEC official has received the required
defects in its qualifications within the time period specified in paragraph two, the mutual fund management company shall request the SEC Office’s permission to change the mutual fund supervisor within 15
hearing ends on 21 November 2024.Remark: * The cooling-off period is the time when a company publishes the most updated registration statement (“filing”) to allow investors to study the information in the
and found that {A} had been authorized by his clients to make securities trading decisions on the client's behalf. He submitted trading orders with high trading volume for a certain period of time. {A
, making it impossible for the owner to report to the SEC within the specified period of time;(4) Clear determination of the reporting date in case of obtaining shares from capital increase or convertible
probed into the case and found conversation in the LINE Application that {A} traded securities for herself through the client's securities trading account. During a certain period of time, she made a