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
financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts or no records
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
with the key benchmarks: - Discussion and analysis on the financial condition and the operating results during the past two fiscal years is required only when they have a significant impact on the
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
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
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
Exchange Commission concerning Maintenance of Capital of Investment Advisors and Derivatives Advisors . “ financial institution ” means: (1) a commercial bank under the Law on Financial Institutions ; (2) a
reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor 18/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to