controlling its business by mean of maintaining capital adequacy and capital reserve as prescribed by related rules. Provided that, after submitting an application, if it appears that the applicant can not
Maintenance of capital funds and reserve (only in the case of a CB. or FC.) - a documentary evidence showing that the applicant is capable of maintaining capital funds and reserve prescribed by the law
) being capable of maintaining capital and reserve under relevant supervisory law; (3) demonstrate efficient systems to prevent conflict of interest, Chinese wall among different departments and staffs
prevention equipment with directly recognition to the owner’s equity 26. retained earnings (deficits) 26.1 Appropriated 26.1.1 legal reserve 26.1.2 others 2.6.2 Unappropriated 27. deducted Treasury stock 28
or higher more than three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under
obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under the first paragraph “investor contact
category under the relevant supervisory law; (2) being capable of maintaining capital and reserve under relevant supervisory law; (3) not being restricted, suspended or restrained of its operation by
person on a case-by-case basis. Such specified period of time shall not exceed five years from the date when such person is released from such punishment under the judgment, or from the date when the
jurisdiction or being prosecuted as a result of such complaint, or [ii] having been imprisoned by the final judgment of a court regardless of whether the infliction of punishment has been suspended, and having
or [ii] imprisoned by the final judgment of a court regarding the following offences regardless of whether the infliction of punishment has been suspended, and having been acquitted of the imprisonment