period as it deems appropriate. Clause 3 A derivatives broker shall not reduce its paid-up capital to the extent that its shareholders’ equity is decreased unless permission is granted by the SEC. Clause 4
A derivatives broker shall not reduce its paid-up capital to the extent that its shareholders’ equity is decreased unless permission is granted by the SEC. Clause 4 This Notification shall come into
the qualifications under Clause 3(6), (7), (8) and (9) as provided in the application except where there is any difference in detail to the extent that it will not materially change the qualifications
the qualifications under Clause 3(6), (7), (8) and (9) as provided in the application except where there is any difference in detail to the extent that it will not materially change the qualifications
licensee has satisfied the qualifications under Clause 3(6), (7), (8) and (9) as provided in the application except where there is any difference in detail to the extent that it will not materially change
and APEC Asia Region Funds Passport shall take effect, mutatis mutandis, to the extent that they are not inconsistent with or contrary to the provisions prescribed herein. Chapter 2 Application for
ago or such behavior is not severe to the extent that the person should not be entrusted to perform duty as auditor of entities in the capital market, the SEC may disregard such facts as a cause for
academic qualification of a bachelor’s degree in accounting and are members of the FAP, in the total number of not less than five persons who shall work full-time for the audit firm. As for the certified
the purpose of compliance with this Notification, the SEC Office is empowered as follows: (1) issuing detailed Notifications under the scope of this Notification in order that any intermediary would
for clients. “member of fund investment committee” means a member of a committee which is appointed or assigned by a fund management company to consider and determine the scope of investment of mutual