fair shareholding structure; Directors, executives and major shareholders do not have conflict of interests or there are adequate measures to manage conflicts of interest; There is no reason to doubt
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
plaintiff brings a civil lawsuit in order to protect the right of oneself and a group of persons who have the same rights deriving from the same facts and legal principle. In 1995, Class Action was
plaintiff brings a civil lawsuit in order to protect the right of oneself and a group of persons who have the same rights deriving from the same facts and legal principle. In 1995, Class Action was
; (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
; (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
) committing unfair securities trading practice; (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as director or executive under Section
category of mutual fund management shall- (1) have a paid-up registered capital not less than the amount specified in the SEC’s Notification; (2) 1 have the following shareholder or shareholders held its
) ; The auditor's report shall not have any of the following characteristics: A disclaimer or an adverse opinion on the financial statements; A qualified opinion on any significant transaction that