financial products and services in the capital market.The applicant must have the qualifications as specified by the Ministerial Regulations concerning undertaking of securities business in the category that
applicant shall submit an application accordingly to Chapter 2 of Part 1 and comply with Part 2; (2) in relation to the submission of the registration statement, the applicant shall submit the said document
the return shall not be relied on any other underlying, the applicant shall comply with only this Notification; (2) the offering of structured notes in other manners than (1) can only be done by the
Subj: Application for establishing a branch office or converting an online branch office into a full branch office. The applicant hereby notifies the details on the establishment / conversion of a branch
Rerson and Qualifications of Applicant _____________ Clause 4 An applicant for the registration as a derivatives business operator must be a juristic person as follows: (1) a commercial bank or a financial
Qualifications of Applicant _____________ Clause 4 An applicant for the registration as a derivatives business operator must be a juristic person as follows: (1) a commercial bank or a financial company under
Office may reject the application for approval of a public offering of newly issued securities under Part 2 or Chapter 2 of Part 3: 6 (1) the applicant or the offering of securities has the characteristics
following suspicious grounds, the SEC Office may not grant approval for the offer for sale of the debt securities: (1) the applicant or the offer for sale of the debt securities has the characteristics or
applicant submits a complete application and required documents; (2) Reducing a ban period for reapplying in the case where the application is withdrawn by the applicant, from six to three months; (3