Rules on Managing Derivatives Investment by Registered Derivatives Investment Management Company
, 2019 onward. Revision has been made for escrow agent transactions to ensure increased flexibility; the Escrow Regulation Committee has been given more powers and obligations in supervising and
that the operation of the securities company follows laws on securities and exchange and notifications issued by virtue of such laws. In performing duty in supervising the securities company under the
that the operation of the securities company follows laws on securities and exchange and notifications issued by virtue of such laws. In performing duty in supervising the securities company under the
supervising the securities company under the first paragraph, the supervisor may authorize other company to perform such duty if the securities company is able to demonstrate that the authorized company is able
characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary ; (2
prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary; (2) controlling, supervising and managing business units relating to investment
Bankruptcy Law only in the case where such rehabilitation plan requires the creditor to accept such newly issued shares in lieu of debt repayment. Clause 5 The regulations concerning approval of share offering
Supervising Those who are in Contact with Investors ■ Promotion of Good Corporate Governance ■ Development of Legal Framework to Afford Better Protection for Clients’ Assets and Provide Mechanism for Investors
and Audit Oversight > Monitoring on Financial Report of Business in Capital Market Regulations SHARE : Detail Content Financial reporting and audit oversight 3. Monitoring on Financial Report