private fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
in form specified in the SEC’s Notification as published in the Government Gazette. Clause 11 The licensee to operate securities business in the category of private fund management shall commence
service shall be in form specified in the SEC’s Notification. Clause 10 The licensee to operate securities business in the category of investment advisory service shall commence securities business
mutual fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
Criteria for protection of shareholders a. Notice of calling the Shareholders' Meeting Be delivered 14 days in advance of the meeting Contains sufficient information, at least on the following matter
rate of the last 1year period from the day the company wishes to raise the rates: (1) Higher than the ceiling rate for < 5%, the company shall notify the unitholders at least 60 days in advance of the
rate of the last 1year period from the day the company wishes to raise the rates: (1) Higher than the ceiling rate for < 5%, the company shall notify the unitholders at least 60 days in advance of the
sufficiently informed*in advance; in case of objections from unitholders with the number exceeding one-fourth of trust units sold, the trustee shall not execute/grant a permission to execute the transactions
shareholders' meeting Delivered at least 14 days in advance Contain at least the following information: explanation on the necessity for sale of ESOP to the existence of the company Not necessary reason
than two years. Applicant has to renew the approval if he/she wishes to and has to file application and supporting documents in advance before the end of approval period. 5