securities companies? efficiency where quality of personnel in securities business either investment consultants or back office staff, will be strengthened. For investment consultants, training on wealth
dated April 9, 2015. 12.3 The SEC Office begins the period of time for considering the application for approval from the date on which the SEC official has received the required documents in full
established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Documents on establishment of foreign ETF: (a) Memorandum of Association and the Articles of Association, or the
established under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Documents on establishment of foreign ETF: (a) Memorandum of Association and the Articles of Association, or the
, giving of opinions and preparation of various documents relating to the issuance and offering for sale of securities and relating to the acquisition of securities for business takeovers shall be jointly
experience has continued for at least five years during the period of seven years prior to the filing date of the application with the SEC Office; (d) having passed the training concerning preparation in
follows: (1) in cases where a securities company appoints a new person as director or manager, or in other cases than (2), the securities company shall submit to the SEC Office the following documents which
website. “I/We have duly examined the information contained in this registration statement and enclosures hereto. I/We hereby certify that all of the aforementioned documents contain the information which
the information contained in this registration statement and enclosures hereto. I/We hereby certify that all of the aforementioned documents contain the information which is correct, accurate, and
statement and enclosures hereto. I/We hereby certify that all of the aforementioned documents contain the information which is correct, accurate, and complete in all respects. I/We also certify further that