. Clause 2 The following financial institutions shall be eligible to file an application for approval on establishment of limited company or public limited company to undertake securities business in the
management; (d) life insurance company under law on life insurance; (e) financial institution or legal entity established under specific law as specified by the SEC; or (f) limited company or public
company under law on securities and exchange ; (4) life insurance company under law on life insurance; (5) financial institution established under specific law; or (6) newly established limited company or
foreign commercial bank or foreign life insurance company under the third paragraph shall also have qualifications specified under the second paragraph. Clause 4 Limited company or public limited company
foreign commercial bank or foreign life insurance company under the third paragraph shall also have qualifications specified under the second paragraph. Clause 4 Limited company or public limited company
mutual fund supervisor of that fund) such as bank or financial institution incorporated under a specific law, commercial bank, finance company, securities company (broker/dealer/TSFC) or a foreign
mutual fund supervisor of that fund) such as bank or financial institution incorporated under a specific law, commercial bank, finance company, securities company (broker/dealer/TSFC) or a foreign
financial statements in compliance with the International Accounting Standards Board (IASB) or the American Institution of Certified Public Accountants (AICPA) or the Financial Accounting Standards Board
financial statements in compliance with the International Accounting Standards Board (IASB) or the American Institution of Certified Public Accountants (AICPA) or the Financial Accounting Standards Board
auditor. 3.1.1 Preparation and submission of financial statements for a public limited company applying for an initial public offering (“IPO") The financial statements and the