therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020. SEC emphasizes the importance for investment consultants
SEC Office (ECM) The SEC Office receives the following personal data from its cooperation with government agencies: Data for consideration of approval and inspection of wrongdoings from the Bank of
for the fund with a connected person only upon the approval of the mutual fund supervisor or the consent of the client or the provident fund committee, whichever the case may be, in writing before
has received a written approval from the mutual fund supervisor or a written consent of the clients or the provident fund committee, whichever the case may be, the management company may bypass the
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________
and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________ By
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
Rules on Application for and Granting of Approval to Undertake Trust Business (No. 2)
Rules, Conditions and Procedures for Approval of the Securitization Project (No. 2)