trustworthiness in regard of undertaking such securities businesses; "major shareholder" means any person directly or indirectly holds shares of securities company exceeding ten percent of voting shares of such
have conflict of interests or there are adequate measures to manage conflict of interests Principles : Controlling persons or those who have influence on a listed company (directors, executives and
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
> Regulations > Fundraising > Equity Instrument > Share > Fund Raising for Foreign Company Regulations SHARE : Detail Content Shares Fundraising for Foreign Company Related Rules and
Apply for Approval on Establishment of Limited Company or Public Limited Company to Undertake Securities Business in the Category of Mutual Fund Management and Period for Filing Application By
provident funds 2.1 Disclosure of Information After a private fund management agreement has been executed, the private fund management company shall disclose the following information to its client: (1
license in the category of venture capital management under this Ministerial Regulation shall- (1) be a limited company or a public limited company newly established to operate securities business in the
must not exceed the maximum limits specified in the scheme and the prospectus of the offer for sale of the investment units. (1) For advertisement expenses that a mutual fund management company may