Ministry of Finance Re: Prescription of Conditions for Securities Company to Apply for Approval of Person to be Major Shareholder (as amended) Clause 1 In this Notification: "securities company" 1
reviewed and audited by an sec-approved auditor in compliance with accounting standards of a public company limited (in case of financial statements ending on or after 31 December 2013, three most recent
providing services. Clause 2 Person intending to undertake securities business in the category of inter - dealer brokerage shall file an application for approval of establishment of limited company or public
providing services. Clause 2 Person intending to undertake securities business in the category of inter - dealer brokerage shall file an application for approval of establishment of limited company or public
Person intending to apply for operate securities business license in the category of mutual fund management shall be limited company or public limited company which is newly established for operating
be Major Shareholder • Prescription of Type of Legal Entity Eligible to Apply for Approval on Establishment of Limited Company or Public Limited Company to Undertake Securities Business in the
omnibus account under a foreign mutual fund management company. 1.2 Relaxation on the unitholding proportion with condition under the following cases: (1) In the case of unitholding in ETF by the
omnibus account under a foreign mutual fund management company. 1.2 Relaxation on the unitholding proportion with condition under the following cases: (1) In the case of unitholding in ETF by the
Gazette; or (6) newly established limited company or public limited company to undertake securities business in the category of private fund management under this Ministerial Regulation whose shares are
Gazette; or (6) newly established limited company or public limited company to undertake securities business in the category of private fund management under this Ministerial Regulation whose shares are