which the auditor is attached as prescribed by the regulations summarized below: Individual Qualifications (1) being a certified public accountant whose license is still valid; (2) being a leader of an
prescribing that the auditor to be approved by the SEC must be attached to audit firms having audit quality control system in accordance with the prescribed standard. The rules and regulations on approval shall
with the SEC via the SEC Office in Form 90-6 attached herewith together with two copies thereof. In filing of application under the first paragraph, securities company shall file with the following
SEC, in 2010, had revised the rules on approval of auditors by prescribing that the auditor to be approved by the SEC must be attached to audit firms that have audit quality control system in accordance
; Clause 3 Securities company intending to apply for additional securities business licenses shall file an application with the SEC via the SEC Office in Form 90-6 attached herewith together with two copies
receiving the SEC’s recommendation. Securities business license in the category of securities finance business shall be in form attached herewith. Clause 6 Limited company or public limited company that has
limited company to undertake such business with the SEC Office, provided that such application shall be in form and attached with supplementary documents as specified by the SEC. Clause 3 In case where the
. Assessment criteria The assessment focuses on the whole process of AGM, starting from the dissemination of the meeting notice attached with details of the arrangement before, during and after the meeting
attached herewith. Clause 6 Limited company or public limited company that has been granted a license under this Ministerial Regulation shall comply with criteria, conditions and procedure specified by the
attached with supplementary documents as specified by the SEC. Clause 3 In case where the SEC is of the view that limited company or public limited company to be established has qualifications as specified