securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of
private fund management company, the ratio of the shareholders’ equity presented in the latest audited financial statement is not less than that specified in the Notification of the Securities and Exchange
-to-date information; (2) putting in place a reporting system for the information important to the company’s work management, such as financial and non-financial information and operational risk, for
issuance of the latest financial statement, such increasing or reducing shall be calculated in the shareholder’s equity of the securities company. (3) demonstrate a plan for the business operation in foreign
objectives in relation to financial information; - If the Company has disclosed a business plan or a financial prediction in the registration statement or the annual registration statement, clarify the results
to financial information; - In the case where the Company has disclosed a business plan or a financial prediction in the registration statement or the annual registration statement/annual report
governing the maintenance of financial status of a licensed derivatives broker; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by the Office
maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial statement with auditor’s opinion for this fiscal year
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
quantitative investment analysis such as an analysis of a financial statement and qualitative analysis such as an analysis of policy of the company that issued the instrument which the fund intends to invest