compliance finished or in the necessary case for compliance in the long period, it should change password in every three months etc. · In case of non compliance in front of computer’s screen, it shall have a
any securities; “general advice” means giving advice to any person regardless of the purpose of investment, financial position and desire of such person; “specific advice” means giving advice to any
accounts and saving accounts, and those in fixed deposit accounts and certificates of deposit with due dates of not exceeding three months, but not includes bank deposits with an obligation. cash equivalents
the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of
accordance with the second paragraph shall be completed within three months from the end of each accounting period. For each financial year, such preparation shall be completed within twenty-one days from the
select three arbitrators ranking in preference order and notify the Office, in writing, within fifteen days from the date of filing the statement of claim or the date on which the mediation of dispute is
three and not more than fifteen persons shall be established and function as a temporary board of directors of the association related to securities business until the first election of the first board
judgment regardless of whether the sentence has been suspended and have been discharged for a period of less than three years after being sentenced in the offences under law on securities and exchange or law
prohibited period to be major shareholder clause 4 (4)(5)(6)(7)(8) or (9) of the Notification of the Ministry of Finance minimal moderate intense one year three years five years clause 4 (10) of the
the financial statements for the first six months of the financial year shall be completed within three months from the end of each accounting period, while the financial statements for each financial