office. 7 Acquisition through the chain principle means an acquisition of the significant control over a juristic person that is an existing shareholder of the business. The significant control shall
through the chain principle means an acquisition of the significant control over a juristic person that is an existing shareholder of the business. The significant control shall include (1) holding of
acquisition of the significant control over a juristic person that is an existing shareholder of the business. The significant control shall include (1) holding of shares conferring 50 percent or more of the
, etc. (if possible) shall be provided to the SEC office. 7 Acquisition through the chain principle means an acquisition of the significant control over a juristic person that is an existing shareholder
acquisition of the significant control over a juristic person that is an existing shareholder of the business. The significant control shall include (1) holding of shares conferring 50 percent or more of the
take control over appointment or removal from office of a director of such company; (c) a person who by behavior can take control over a person responsible for policy making, management or operation of
, control or management, including any connected person in relation to such person. In this regard, such person may be liable to cause the intermediary to provide services to clients unfairly. 3 Amended by
contract, shareholding, control or management, including any connected person in relation to such person. In this regard, such person may be liable to cause the intermediary to provide services to clients
which are debt instruments; (2) “ securities company ” means a company licensed to undertake securities business in the category of securities dealing; (3) “ counterparty ” means a person who trades
) “specific advice” means investment advice given to any person which is suitable to the investment objective, financial status, or requirements of such person. Chapter 1 Operational Control _____________