be granted approval by the SEC shall possess qualifications of an individual person and of the firm to which the auditor is attached as prescribed by the regulations summarized below: Individual
of auditors by prescribing additional qualifications and prohibited characteristics of auditors, as well as prescribing that the auditor to be approved by the SEC must be attached to audit firms having
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
; 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
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
services (annually) Further to the initial report attached to the application filed for SEC approval, an update of the information is required regularly on a yearly basis (within 30 days after the year end