SEC’s recommendation. Clause 7 Upon the Minister’s approval under Clause 6, the approved person shall proceed with establishment of new limited company or public limited company for operating securities
assets as debt repayment instead of cash. 2) I nclusion in the fund: The funds may continue to hold the assets provided that the assets can be invested in or held by the mutual fund; otherwise the
assets as debt repayment instead of cash. 2) I nclusion in the fund: The funds may continue to hold the assets provided that the assets can be invested in or held by the mutual fund; otherwise the
automatic approval not in compliance with the specified conditions, the SEC may proceed with one or more of the following actions: 1. Suspend a filing of a new application for normal or automatic approval
, approved person shall proceed with establishment of limited company or public limited company to undertake securities business in the category of inter - dealer brokerage. Newly established limited company
automatic approval not in compliance with the specified conditions, the SEC may proceed with one or more of the following actions: 1. Suspend a filing of a new application for normal or automatic approval
, approved person shall proceed with establishment of limited company or public limited company to undertake securities business in the category of inter - dealer brokerage. Newly established limited company
Ministerial Regulation and has paid the license fee for the year of such effective date shall be allowed to continue undertaking securities business as licensed and shall not be required to pay annual license
Ministerial Regulation and has paid the license fee for the year of such effective date shall be allowed to continue undertaking securities business as licensed and shall not be required to pay annual license
person shall proceed with establishment of new limited company or public limited company for operating securities business in the category of private fund management as approved, and the newly established