prescribed; Being able to demonstrate that such person is acknowledgeable and capable person in valuing the asset for widely used appraisal as prescribed; Not appearing that he possesses prohibited
%.; FAs shall not hold shares of an issuer who is not a listed company, except for the case of over 2 years of holding the shares at less than or equal to 5%; An issuer/ major shareholders/director of the
expertise should the company secretary have? A: The Securities and Exchange Act only specifies the scope of duties and responsibilities, not the qualifications, of the company secretary; the appointment of a
fund management under this Ministerial Regulation whose shares are held by any legal entity under Sub-clause (1) to (5) in aggregate amount of not less than fifty percent of total shares sold. Clause 3
public limited company newly established for operating securities business in the category of mutual fund management shall- (1) have a paid-up registered capital not less than the amount specified in the
information for trading securities or entering a derivatives contract related to such securities, either for the benefit of oneself or other persons Inside information means information that has not been
Regulation. Clause 2 Applicant for securities business license in the category of investment advisory service which is a legal entity under Clause 1(1) to (5) shall- (1) be able to maintain capital funds and