does not result in any material change of the qualifications stated in the application. Clause 26 Any licensee of derivatives business in the category of derivatives brokerage which is a company newly
) “investor contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided into two categories: Category A Investor
Repeal of Notification of the Securities and Exchange Commission concerning Maintaining Capital of Securities Company in the Category of Securities Finance Business
Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the Category of Securities Finance
Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor
the category of requiring the issuer to distribute the fact sheet, the securities underwriter shall circulate such document with the same material information of the registration statement in the form
securities company licensed to undertake securities business in the category of securities underwriting; (5) “executive” means a manager or an employee holding the position of department manager or higher who
ETF” means a share of investment company or unit trust issued under collective investment scheme in the category of exchange-traded fund established under law of foreign jurisdiction; “foreign regulator
: “intermediary” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company