following categories: (1) securities brokerage, securities trading or securities underwriting; (2) investment advisory providing investment planning to clients or using software programs in providing services
Securities and Exchange Commission Appendix Definitions “ IT assets ” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e
Notification of the Office of the Securities and Exchange Commission concerning determination of fees for filing, registration and other applications. The Office shall disclose the result of the application in
Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities
application fee under the Notification of the Office of the Securities and Exchange Commission concerning determination of fees for filing, registration and other applications. The Office shall disclose the
approval to be investor contact as per the notification of the Office of the Securities and Exchange Commission governing determination of fees for filing information, registration and other applications. In
Office of the Securities and Exchange Commission concerning determination of fees for filing, registration and other applications. The Office shall notify the result of the application within thirty days
the notification of the Office of the Securities and Exchange Commission concerning determination of fees for filing information, registration and other applications. The Office shall disclose the
Filing of Registration Statement, Registration and other Applications . Clause 17 5 Repealed. Clause 18 5 The SEC Office shall notify the result of the consideration on the application for the
are allowed by law to invest; (3) giving advice through radio programs, television programs, newspapers or other print media in such ways that meet all of the three following conditions: (a) giving