Solicitation or advice on securities or derivatives investment based on the value of the underlying asset such as gold price/crude oil price/agricultural products by an unlicensed company. ● Information of
Audit Firm) .pdf file | .doc file 4. Background and Details of Applicant Requesting Approval .pdf file | .doc file 5. Audit Firm Profile and Details .pdf file | .doc file
switching of classes must be clearly described in the scheme. (3) Seeking a resolution of unitholders in the case of a mutual fund of which investment units are classified: 1) Requesting a resolution on a
company must consider possible impacts on the unitholders. (3) A resolution of the unitholders, pursuant to rules specified in the scheme and the commitment, is obtained. (4) In requesting a resolution
. Data subjects are entitled to the rights stated above. Therefore, data subjects may request the SEC Office to comply with the rights stated above by requesting the SEC Office via the link Request to
, but not limited to, requesting information from the audit oversight authority that the applicant registers with, or requesting the applicant for more information or clarification. The SEC will notify
50,000. In considering the application, the SEC will verify the information as described in the application form and supporting documents. The process may include, but not limited to, requesting
instance, securities intermediaries, asset management companies, investment consultants and derivatives intermediaries with underlyings such as SET index, oil and precious metals (gold, silver, etc.); For