English (United States) Limitations on Unit holding × Home > Laws/Regulations > Regulations > Mutual
processing of personal data of data subjects and describes how the SEC Office processes your personal data, the rights to which data subjects are entitled, and the contact channels of the SEC Office in the
case of a complaint related to services of a securities or asset management company under the SEC supervision, first of all, the complainant should contact the compliance unit of the company directly
, however, the public relations department may be responsible for the job. In such case, must the job be transferred back to the company secretary? And how should the company proceed? A: By law, the company
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