. Should the mutual fund management company require to stop the operation longer than 1 business day, the mutual fund management company shall request a waiver from the SEC. (3) Any other cases for which
. Should the mutual fund management company require to stop the operation longer than 1 business day, the mutual fund management company shall request a waiver from the SEC. (3) Any other cases for which
assigned by the board of directors to make a decision on the business operation, the parent company, subsidiary, associate company, sister company, major shareholder or controlling person in the form of
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
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
condition or result of operation which the SEC may consider that the securities company severely suffers loss, the consideration on which shall take the following factors into account; (a) difference of
condition or result of operation which the SEC may consider that the securities company severely suffers loss, the consideration on which shall take the following factors into account; (a) difference of
& Analysis (MD&A) Events and factors substantially affecting the operation or financial status of the company in the future (forward looking) Risk factors Important points What risk does the company have? If
, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business, etc. There are two types of administrative actions taken by the SEC Office
capital fund and make provision according to criteria specified by law controlling business operation of such legal entity. Clause 5 Any person intends to establish a limited company or public limited