securities company shall allow any person to have control over its administration or management except for exercise of shareholder’s right in shareholder meeting or management under agreement approved by the
Ministerial Regulations as follows: Clause 1 Person eligible to apply for license to undertake securities business in the category of inter - dealer brokerage shall- (1) not have shareholder or controlling
Ministerial Regulations as follows: Clause 1 Person eligible to apply for license to undertake securities business in the category of inter - dealer brokerage shall- (1) not have shareholder or controlling
board of directors to be members of “audit committee." Audit committee is responsible for reviewing financial statements, internal control system, and ensuring that the company has disclosed information
be in conflict with the company's interests which results in such persons' failure to make a decision or to perform their duties for the best interests of the company. Therefore, A person who has a
with the following documents: (1) a profile and details of the applicant; (2) a copy of registration certificate as a juristic person or as a group of persons; (3) a copy of financial statement of the
the Securities and Exchange Commission personal data any information that can be used to identify a natural person, both directly or indirectly, but shall not include, in particular, any information
position or the condition that can access inside information through performance of duties; (5) Juristic person whose business is under control of the persons under (1) (2) (3) or (4). Trading
position or the condition that can access inside information through performance of duties; (5) Juristic person whose business is under control of the persons under (1) (2) (3) or (4). Trading
; and (4) general administration. To become a listed company, first of all a company must register the establishment of a juristic person with the DBD as a public limited company under the Public