shareholding as specified the SEC. Upon the establishment of limited company or public limited company shall file an application for securities business license in the category of securities finance business
shareholding as specified the SEC. Upon the establishment of limited company or public limited company shall file an application for securities business license in the category of securities finance business
still available, for instance, common shares, preferred shares, debentures or convertible securities, as well as important conditions of securities Shareholding structure (the first 10) Shareholder
fair shareholding structure; Directors, executives and major shareholders do not have conflict of interests or there are adequate measures to manage conflicts of interest; There is no reason to doubt
category of mutual fund management as specified in Clause 3. Clause 11 The licensee to operate securities business in the category of mutual fund management shall maintain its shareholding proportion as
clearing and settlement system, or protecting and preserving benefit of customer. Clause 10 Provisions of Clause 3 and Clause 4 shall not be applicable to shareholding by major shareholder existing prior
assets 6.4 Mutual fund with a one-time investment strategy (Buy-and-Hold Funds) 6.5 Announcement of the NAV 6.1 Closed-end funds (1) Calculate the NAV and investment unit value at the end of every
assets 6.4 Mutual fund with a one-time investment strategy (Buy-and-Hold Funds) 6.5 Announcement of the NAV 6.1 Closed-end funds (1) Calculate the NAV and investment unit value at the end of every
an associate has made an order to buy the same securities or will do so at a similar amount and a similar price within a similar period of time; (4) Placing, modifying, or cancelling a securities
an associate has made an order to buy the same securities or will do so at a similar amount and a similar price within a similar period of time; (4) Placing, modifying, or cancelling a securities