company or a public limited company; (8) “ conglomerate ” means a group of legal entities having relationship in respect of shareholding structure, whereby all legal entities in such group have relationship

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

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

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

client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment, although both clients [or both groups of clients ] are classified in the

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

broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as prescribed and notified by the SEC Office, the SEC

, the appointment of third parties, such as other intermediaries , financial institutions or affiliated companies in the group of financial business who have readiness in personnel and operating system

; (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