manner in the event of disruption of its normal operations, the securities company shall establish a policy on business continuity management that is approved by its board of directors. Clause 4. A
affect the company’s credibility should it undertake fund management business; (3) The management company has shown that it has prepared, for the operations of the branch office to be established, the
of liabilities not exceeding the shareholders’ equity of the securities company ; (b) financing lease which is under the condition allowing for early termination of lease by the securities company as
which may affect the company’s credibility should it undertake fund management business, and whether the company has prepared for the operations of the branch office to be established, an operating system
Clause 5. The following operations of management company are the acts that may create conflict of interest to unitholders or the clients which prohibited under section 126(1) and section 139(5), as the
: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
Securities Companies to Establish Branch Offices dated 24 August 2000 shall be repealed. Clause 3. In this Notification, “Securities company” means any company licensed to undertake securities business in the
first paragraph is a commercial bank under the law on financial institution business, a life insurance company under the law on life insurance, or a financial institution established under a specific law
parties of the Audit Firm by specifying the names of the parties, the countries of business operations, the natures of business operations or services, and the description of relationship or connection, e.g
derivatives brokerage business shall be a limited company or pubic limited company which is newly established to obtain the license for such business and in which one or several gold business operators