3. For a private fund management company which has a license to conduct another securities business, if the company has been permitted by the Office to establish a full-service branch office for the
An intermediary shall not do any operation constituting conflict of interest as prescribed in Clause 16 unless it is permitted as prescribed in Division 4 of this Chapter. Clause 20 An intermediary
Notification on Standard Conduct of Business and this Notification, it shall be deemed that the intermediary has already been permitted to buy or hold shares by the SEC Office in accordance with Section 98(7)(b
form through the business operator reporting system in accordance with the SEC Office of the Securities and Exchange Commission’s rule on the electronic data interchange, unless otherwise permitted by
areas to be satisfied by a management company: (1) The scope of operations of the permitted branch office as it deems appropriate; (2) The procedures to be made by the management company to ensure
holidays. Clause 8. In the case where the securities company has been permitted to open on different hours and days from that indicated in Clause 3(1) prior to the effective date of this Notification, such
; (3) “Commercial bank” means any commercial bank under the law on commercial banking and any juristic person established under foreign laws which is permitted by such laws to undertake commercial
aggregate of more than 75% of all shares with voting right; (15) Foreign investors with the same characteristics as such investors under (1) to (14) mutatis mutandis ; (16) Juristic person as permitted, on a
offering; (2) soliciting investors to invest in a newly-issued outbound product for a public offering in the primary market by any other manner specified by the SEC Office. Clause 12 The outbound product the