intermediary demonstrates that it has readiness of personnel, and has already prepared at least the following operating systems: (1) a security system to protect clients’ information, particularly trading
regard, the SEC Office shall grant an approval only when the intermediary demonstrates that it has readiness of personnel, and has already prepared at least the following operating systems: (1) a security
information as additionally prescribed in this Notification in case where a person intending to make an offer for sale of units of foreign collective investment scheme demonstrates that such information has no
) having a clear action plan which demonstrates determination for providing services of trading investment units in the long run; (6) having sufficient readiness for providing services and ensuring that
ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5) having a clear action plan which demonstrates determination for providing
22 of the Notification on Standard Conduct of Business, the intermediary shall provide evidentiary documentation that demonstrates facts representing such reasonable ground for entering into such
circumstance indicates an ongoing financial problem; (5) having a clear action plan which demonstrates determination for providing services of trading investment units in the long run; (6) having sufficient