advisor. (5) Directors, managers, the executives of the investment banking unit adhering to professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having
89/7; (4) allowing any person to use one's own securities trading account or banking account for payment of securities trading, or using any person's securities trading account or banking account
under this Ministerial Regulation shall be any of the followings- (1) commercial bank under law on commercial banking; (2) finance company under law on undertakings of finance business, securities
investment advisory service under this Ministerial Regulation shall be any of the followings- (1) commercial bank under law on commercial banking; (2) finance company under law on undertakings of finance
- (1) commercial bank under law on commercial banking; (2) finance company under law on undertakings of finance business, securities business and credit foncier business; (3) securities company under the
market currently operated by Finnet Innovation Network Co., Ltd. The outsourcing should be justifiably arranged and not becoming an empty box (without business operations). The intermediaries are
SEC’s Notification; (2) 1 have the following shareholder or shareholders held its shares not less than fifty percent of total shares sold: (a) commercial bank under law on commercial banking; (b