increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to
company shall provide a reservation of information and computer system of the securities company which is capable of supporting the business operation continuously, efficiently and up to date. Clause 9. The
of application to establish a fund shall be in compliance with the following: (1) the details of the fund project and draft prospectus shall be jointly prepared by a financial advisor capable to
operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory law ; (2
offering; (b) change in par value resulting in an increase or decrease in the amount of shares; (c) redemption of securities; (d) amalgamation, merger or takeover by making a tender offer; (e) distribution
company, or a financial institution established under a specific law under Clause 4(1) (2) and (4) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the
) being able to show that an internal control system capable of preventing wrongful acts that may cause damage to securities issuers or securities holders will be put in place. Clause 4 The application for
the financial advisor who jointly prepares and certifies the Registration Statement to be appropriate and capable of making an appraisal that reflect the true value reliably and sufficiently. Such
System and Personnel _____________________________ Clause 11 An intermediary shall equip management structure, operating system and personnel appropriately and sufficiently in order to be capable to
increase or decrease in the number of shares; (c) redemption of securities; (d) amalgamation, merger or takeover by making a tender offer; (e) distribution of share dividends; (f) conversion of securities