may not require a securities company to have a paid- up registered capital in an amount specified for operation of any particular category of securities business, except for a security company operating
the following matters: (1) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime
) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime, which are capable of protecting
. In cases where there is a reasonable cause, having taken into account the position and nature of work taken charge by the officers prior to termination of position or duty in the SEC Office, the SEC
position and nature of work taken charge by the officers prior to termination of position or duty in the SEC Office, the SEC shall have the power to prescribe regulation to apply Section 22/1 with such
procedures under Section 63, issue rules that are of temporary nature, provided however that, the derivatives exchange has complied with the rules as specified in the notification of the Capital Market
procedures under Section 63, issue rules that are of temporary nature, provided however that, the derivatives exchange has complied with the rules as specified in the notification of the Capital Market
payments under Section 23/2 or to transfer the amount of benefits maintained in the fund under Section 23/3 to the retirement mutual funds or any other fund with the objective to serve as a security for
approved project, if the assets are secured by security other than rights of mortgage, rights of pledge or rights arising from a suretyship, such rights shall pass to the transferee on each transfer through
delegate its duty to other persons except where: (1) the trust instrument provides otherwise; (2) it is a transaction that is not personal in nature and needs no capability of trustee’s profession; (3) it is