investments account and reviewing evidentiary documentation attached to the application before delivering them to the management company for considering an approval; (2) disclosure of information or documents
information for consideration. The documents should be delivered before the meeting date at least as minimum requirement period by the regulations. 13.5 The company provides minutes of board of directors
), together with the notice of the shareholders’ meeting, to the following persons, upon a lapse of seven days from the date the Office receives the documents under (1), unless otherwise specified by the Office
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
together with supplementary documents as specified in the notification of the SEC. Clause 13 In applying for license, the application shall be filed in the following periods: (1) in case of the applicant
connection with the said issuance and offering of shares; (2) entering into negotiations, making agreements and executing relevant documents and agreements, and undertaking any action relevant to the
significantly, the securities company shall inform its clients of certain change without delay; (2) inform its clients that when a securities company encounters financial problems, the client’s money which has