. Having been sentenced to imprisonment by the court's final judgment on public offences relating to deceitful, fraudulent and corrupted management and it has not yet surpassed an interval of three years
interpretation of the “Executive” in relation to “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager” Regarding the Notification of the
application for additional securities business licenses it has not yet obtained by complying with rules and procedures prescribed in this Ministerial Regulation. [Amended by the Ministerial Regulation No.17
Financial Institutions Businesses Act for not less than 4 years. (4) being attached to only one qualified audit firm; (5) not possessing any prohibited characteristics as prescribed by the SEC. Audit Firm
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for the working field of asset appraisal, possess prohibited characteristics as prescribed; Not being ordered by the SEC to suspend functioning as appraisal company in capital market or being under the
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(ESOP) is a tool to create motivation for personnel of the company to work effectively to promote the growth of the company by providing opportunity for directors and employee to take part in the
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