) international financial institutions; (8) government agencies and state enterprise under budget procedure law; (9) the Financial Institutions Development Fund; (10) the Government Pension Fund; (11) provident
than the juristic person under (8); (7) international financial institutions; (8) government agencies and state enterprise under budget procedure law; (9) the Financial Institutions Development Fund; (10
period that the investment advisory company under Clause 3 is unable to maintain collateral and liquid asset adequacy or in the process of amendment of adequacy under Clause 4(2), the investment advisory
potential, and the names of competitors (only in the case of duopoly or oligopoly). 2.3 Procurement of products or services (a) Describe an overall procedure for procuring products for sale during the past
. Chapter 1 The Applicant Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a securities business license type A or is in a process of
Chapter 1 The Applicant Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a securities business license type A or is in a process of
type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the category of securities
9 July 2025 to ensure thorough audit process before submitting the report. Nevertheless, the SEC instructs SAM to expedite the audit reporting process in accordance with the specified timeframe
audit process before submitting the report to the SEC. Nevertheless, conducting a special audit is an important matter that may affect the rights and benefits of securities holders or the investment