operation during three consecutive years prior to the year of filing the application; (c) any step taken by the securities company to rectify financial condition or result of operation as approved by the
operation during three consecutive years prior to the year of filing the application; (c) any step taken by the securities company to rectify financial condition or result of operation as approved by the
for management of a private fund within five business days without giving prior notice to the private fund management company and shall not be liable to compensate any damages to the private fund
for management of a private fund within five business days without giving prior notice to the private fund management company and shall not be liable to compensate any damages to the private fund
main board of foreign stock exchange, shall be granted the approval as foreign auditors in the capital market withoutfull inspection prior t o approval. (2) Normal: auditors who do not meet the
statements of entities whose securities are publicly traded in main board of foreign stock exchange, shall be granted the approval as foreign auditors in the capital market withoutfull inspection prior t o
the prescribed form. 7. Not being in default om principal or interests of any debt securities or in default on a loan payment. 8. Within two years prior to the filing of the application for an approval
of warrants must be registered prior to the offer to sell. The nature of warrant is the same as that of PO warrant, except that it does not contain the requirements for the duration of last exercise of
employee of the applicant; Practicing on asset appraisal continuously for not less than 1 year prior to seeking the approval thereof and still practicing such action during submitting the application; Having
capital market has always been a major venue for fund mobilization of business sectors. Yet, prior to the SEC establishment, market development had concentrated more on the secondary market where trading of