establishment and after obtaining securities business license, provided that during the establishment the finance and securities company shall hold shares in the 2 newly establish company not less than ninety
Chapter 7. 10 Chapter 4 Application for Approval and Granting of Approval Division 1 Application for Approval Clause 15 The submission of an application for obtaining approval to be personnel in the capital
, Permission by Registration and All Applications for Obtaining Approval to the SEC Office on the date when the complete and accurate application together with the evidentiary documentation have been submitted
obtaining ACMF Pass The procedure for obtaining ACMF Pass including its renewal are subject to Laws and Regulations of the Host Jurisdiction as prescribed in Appendix 2. 3.4 On-going obligation 3.4.1
Approval and Granting of Approval Division 1 Application for Approval Clause 15 The submission of an application for obtaining approval to be personnel in the capital market business and a renewal of such
Approval and Granting of Approval Division 1 Application for Approval Clause 15 The submission of an application for obtaining approval to be personnel in the capital market business and a renewal of such
178,713,420.36 31,807,149.07 1,643,024.07 2 5 Offences/Year 2023 Signed a Letter of Consent Filing a lawsuit to the Civil Court Director of Company Unfair Securities Trading Activities *This offense was committed
1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
; (2) the determination of fees for application for an approval, application for obtaining a license, a license, or for operating the business as licensed; (3) the issuance of rules relating to the
company’s management prevented the auditor from obtaining sufficient information and audit evidence necessary for reviewing the financial statements. Such information included cash account, purchases and