Notification shall come into force as from 16 March 2007. Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform
this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform securities brokering, dealing, underwriting, mutual fund management, private fund
come into force as from 16 March 2007. Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform securities brokering, dealing
SEC Office under this Notification shall be allowed to perform an audit work and affix signature in giving opinions on the auditing of the following businesses: (1) a company applying for an offer for
administrative panel or the SEC, as the case may be, for commencing the administrative proceedings under this Chapter. 3 Clause 7.1 The department in charge as assigned by the SEC Office to perform operational
shall be a statement indicating that such person [i] agrees to perform the duties as the trustee of the REIT after having studied the evidentiary documentation submitted to the SEC Office by the applicant
Notification to be complied with, the SEC Office may perform the following: (1) establish rules in clear detail to enable securities clearing houses and central securities depositories to practice in a
institution: O yes O no 6.15 Pending under the period prescribed by an order of the Office to be suspended, revoked or prohibited to perform the duties of personnel in securities business or derivatives
suspended, revoked or prohibited to perform the duties of personnel in securities business or derivatives business in any position or nature of work: O yes O no 6.16 Pending under the period prescribed by an