) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
liquid capital more than the aforesaid rate for at least two consecutive business days and a securities company has already filed the report of net liquid capital calculation of those two consecutive
responsibility in the audit within a period of (“the cooling-off period”) · five consecutive years* for audit engagement partner · three consecutive years for EQCR and · two consecutive years for other key audit
Securities and Exchange Commission hereby issues the following regulations: Clause 1 The management of funds of juristic entities under the same business group shall not be regarded as the undertaking of
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
less than five consecutive business days; (3) implement the corrective plan or guideline notified to the SEC Office under (2) in order to regain the maintenance of capital in accordance with the
undertaking business for not less than a period of three consecutive years holds more than fifty percent of its total shares with voting rights. Clause 3. An applicant shall be granted a license to undertake
the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of
holding in, securities, derivative, or any other properties, or invest in or procure for profit by other means. "private fund management" 2 means the management of funds of a person or group of persons who
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5