approval. However, if a mutual fund management company files an application for automatic approval not in compliance with the specified conditions, the SEC may proceed with one or more of the following
approval. However, if a mutual fund management company files an application for automatic approval not in compliance with the specified conditions, the SEC may proceed with one or more of the following
Minister’s approval under Clause 6, the approved person shall proceed with establishment of new limited company or public limited company for operating securities business in the category of private fund
, approved person shall proceed with establishment of limited company or public limited company to undertake securities business in the category of inter - dealer brokerage. Newly established limited company
receiving the SEC’s recommendation. Clause 4 Upon the Minister’s approval under Clause 3, approved person shall proceed with establishment of limited company or public limited company to undertake securities
from the date receiving the SEC’s recommendation. Clause 4 Upon the Minister’s approval under Clause 3, the approved person shall proceed with establishment of new limited company or public limited
, subsidiary, associate company do? Is it a product or a service? From which business is the major income derived? How is the trend of the industry? Can the company compete with other business competitors? Are
/AUM of the mutual fund management company, and that of the industry. Authority of the SEC Fund managers Mutual fund performance measurement Preparation of financial reports of mutual fund Prescription
/AUM of the mutual fund management company, and that of the industry. Authority of the SEC Fund managers Mutual fund performance measurement Preparation of financial reports of mutual fund Prescription
person shall proceed with establishment of new limited company or public limited company for operating securities business in the category of private fund management as approved, and the newly established