Ministerial Regulations as follows: Clause 1 Person eligible to apply for license to undertake securities business in the category of inter - dealer brokerage shall- (1) not have shareholder or controlling
of inter - dealer brokerage shall- (1) not have shareholder or controlling person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records
Ministry of Finance Re: Prescription of Conditions for Securities Company to Apply for Approval of Person to be Major Shareholder (as amended) Clause 1 In this Notification: "securities company" 1
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
Ministry of Finance regarding prescription of conditions for digital asset business operators to seek approval of the major shareholder The Notification of the Securities and Exchange Commission No. GorThor
Ministry of Finance regarding prescription of conditions for digital asset business operators to seek approval of the major shareholder The Notification of the Securities and Exchange Commission No. GorThor
government official or as a consultant of a government agency which is a majority shareholder or has controlling interest for less than 2 years. Not being a person who is relate by blood or legal relations
investment decision of the public, appraisal requires a knowledgeable, capable and responsible person to perform. The SEC have stipulated the undertaking of the asset appraisal by an appraisal company whose
Business (SFC) • Prescription of Conditions for Securities Company to Apply for Approval of Person to be Major Shareholder • Prescription of Type of Legal Entity Eligible to Apply for Approval on
) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable