of the SEC’ s operation 1 2 3 4 5 6 1. Supervision of Securities Business 3/10 • For flexibility of securities business supervision and supporting Financial Technology • To promote development and
specified in the contract, or to demand the other party to enter into a contract under subsection (1) or (2). “derivatives business” means the undertaking to provide services as the following: (1) a
as specified in the contract, or to demand the other party to enter into a contract under subsection (1) or (2). “derivatives business” means the undertaking to provide services as the following: (1) a
Trustee _______________ Division 1 Approval ________________ SECTION 54 No person shall undertake trust business without an approval from the SEC. SECTION 55 A person eligible to apply for an approval to
shall be void: (1) the creation of trust in contrary to Section 11 or Section 12; (2) the creation of trust assigning trusteeship to a person without an approval to undertake trust business under this Act
SECTION 54 No person shall undertake trust business without an approval from the SEC. SECTION 55 A person eligible to apply for an approval to undertake trust business shall be: (1) a commercial bank under
responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. 2 “SECTION 4/1 The SEC shall have the power to determine the undertaking of business in any manner is
agenda of the meeting: (1) the proposal does not comply with rules as specified in the first paragraph; (2) the proposal is relevant to the ordinary business operation and the fact given by the
. "securities business" means any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4) securities underwriting; (5) mutual fund management
licensed to undertake securities business under this Act. "securities business" means any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory