Capital Market Supervisory Board concerning Offer for Sale of Newly Issued Debentures in the Category of Structured Note or Debentures Imposing Obligation on Debenture Holder which are Issued by Financial
the upcoming competition after the liberalization of securities business license, the securities company shall use their judgement in specifying the appropriated office hours. So it’s deemed necessary
categories of bills of exchange, promisory notes, bonds and debentures but excluding structured notes and debenture imposing obligation on debenture holder. In case the remaining time to maturity of the debt
companies is part of the conglomerate or a business group of a major shareholder and by nature of the core business the Company may need to form a relationship, reliance or competition against other
approval by the authorised person; · Controlling the privilege user strictly, such as controlling the compliance such user in a manner of dual control which imposing two officer possess half of password or
action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information
prepared for the upcoming competition after the liberalization of securities business license in the future, this Notification is issued to determine the rules regarding permission to qualified securities
has flexibility in operating its business, able to increase its income and expand its customer to prepared for the upcoming competition after the liberalization of derivatives business license in the
competition with the management company’s operation, unless the management company can show that its organizational structure does not cause any conflicts of interest or has established effective policy and
nature of the core business, the Company may need to form a relationship, reliance4 or competition against other businesses of the major shareholder materially, the Company should explain the structure or