been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
the upcoming competition after the liberalization of securities business license, the securities company shall use their judgement in specifying the appropriated office hours. So it’s deemed necessary
companies is part of the conglomerate or a business group of a major shareholder and by nature of the core business the Company may need to form a relationship, reliance or competition against other
prepared for the upcoming competition after the liberalization of securities business license in the future, this Notification is issued to determine the rules regarding permission to qualified securities
has flexibility in operating its business, able to increase its income and expand its customer to prepared for the upcoming competition after the liberalization of derivatives business license in the
competition with the management company’s operation, unless the management company can show that its organizational structure does not cause any conflicts of interest or has established effective policy and
nature of the core business, the Company may need to form a relationship, reliance4 or competition against other businesses of the major shareholder materially, the Company should explain the structure or
circumstance as provided in the first paragraph, the SEC may modify or change the conditions already specified. Division 2 Supervision of Business Operation ________________ SECTION 57 In managing a trust, a
, disclose the expenses spent on such research and development during the past three years. In case of none, specify so and explain the reason thereof as well. (2) Marketing and competition (a) Describe the
institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a