person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3
, who are capable and have experiences beneficial to business operation; (3) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control
in the category of investment advisory service; (3) be able to show that its human resource will be prompt and adequate with a view to responsibility for investment advisory service. Where the
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
system, record keeping system and system for making reports concerning venture capital management; (4) be able to show that its human resource will be prompt and adequate with a view to responsibility for
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
capital management; (4) be able to show that its human resource will be prompt and adequate with a view to responsibility for venture capital management consideration on which shall be based on the company
operational system will be prompt for operating securities business in the category of private fund management; (6) be able to show that its human resource will be prompt and adequate with a view to
that its operational system will be prompt for operating securities business in the category of mutual fund management; (5) be able to show that its human resource will be prompt and adequate with a view
) 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