with the National Strategy in the aspect of providing provincial people with the access to financial services and the capital market, including more understanding of SEC’s roles, in 2019 SEC plans to
notification requires the business operators to comply with the policy, measures, and practice guideline for the delegation of other persons to operate a business on their behalf, for example, putting in place
cooperation of SEC, considered that a strong capital market infrastructure which process capability to support the changing economy and digital society could provide a solid foundation for further development
compliance with the provisions of the Notification on Investment. In applying for establishing a mutual fund for accredited investors (AI Fund), the mutual fund management company shall not specify the
SEC. The mutual fund that provide beneficial interest for investors in the form of a life or healthcare insurance and the money market fund with constant NAV are prohibited from applying for automatic
SEC. The mutual fund that provide beneficial interest for investors in the form of a life or healthcare insurance and the money market fund with constant NAV are prohibited from applying for automatic
compliance with the provisions of the Notification on Investment. In applying for establishing a mutual fund for accredited investors (AI Fund), the mutual fund management company shall not specify the
appropriate level of risks. To achieve such a goal, the SEC believes that investing in activities with emphasis on sustainability strategies, good governance and accountability to the society and environment
in the category of investment advisory service; (3) be able to show that its human resource will be prompt and adequate with a view to responsibility for investment advisory service. Where the
containing provision in relation to restrictions of rights and liberties of persons, in respect of which Section 29, in conjunction with Section 35, Section 36, Section 45, Section 48 and Section 50 of the