; (2.3) There are causes and necessities in order to protect the benefit of the investors. Should the mutual fund management company require to stop the operation longer than 1 business day, the
; (2.3) There are causes and necessities in order to protect the benefit of the investors. Should the mutual fund management company require to stop the operation longer than 1 business day, the
companies. After being appointed as an independent director, that independent director may be assigned by the board of directors to make a decision on the business operation, the parent company, subsidiary
securities company with disqualified characteristics under sub-clause (3); (5) have financial condition or result of operation which the SEC may consider that the securities company severely suffers loss, the
Detailed explanation concerning particular risk on the company Chance of risk occurring Effects on the company if the risk occurs Type of operation Important points What kind of business does the company
person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3
, who are capable and have experiences beneficial to business operation; (3) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control
company or public limited company which is newly established for operating securities business in the said category mutual fund management under this Ministerial Regulation. Clause 3 Limited company or
condition or result of operation which the SEC may consider that the securities company severely suffers loss, the consideration on which shall take the following factors into account; (a) difference of
under this Ministerial Regulation shall be any of the followings- (1) commercial bank under law on commercial banking; (2) finance company under law on undertakings of finance business, securities