with law controlling business undertaking of such legal entity; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within
- (1) not have financial condition that is likely to cause damage or have any other circumstances showing the holder’s financial hardship; (2) within three years preceding the year of filing application
; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the
advisor. (5) Directors, managers, the executives of the investment banking unit adhering to professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having