means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
trust can sell units to high net-worth investors or general investors (in case of selling to retail investors, listing of the units in the Stock Exchange is required to enhance the liquidity). In case
-producing projects (Brownfield), and the incomplete projects (Greenfield)*
toward the date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial
. Such application shall be filed with the SEC via the SEC Office within one hundred and twenty days from the date obtaining the Minister’s approval in form and together with supplementary documents
experience in asset appraisal; Having a total number of the appraisers not less than 5 persons. In this regard, at least 2 persons shall be lead appraisers obtaining approval from the SEC; Not appearing that
Associated Person hold investment units over one-third of the units outstanding, directly or indirectly, possibly from causes such as increasing investments, obtaining a waiver as an eligible case specified