+%22electrica... PowerPoint Presentation Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to
Minister in charge of the enforcement of this Act. SECTION 4/1.( The SEC shall have the power to determine the undertaking of business in any manner is not a securities business under this Act. SECTION 5.4
Minister in charge of the enforcement of this Act. SECTION 4/1. The SEC shall have the power to determine the undertaking of business in any manner is not a securities business under this Act. SECTION 5.4
under this Act; (2) the determination of application fees, approval fees or operating fees for business undertaking under this Act; 3 (3) the prescription of guidelines for consideration of any issues
, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, approval fees or operating fees for business undertaking under this Act; (3) the
rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, approval fees or operating fees for business undertaking under this Act; (3
and replaced by the following texts: “SECTION 13. Any commission member who has an interest in the matter to be considered, shall declare such interest and shall be prohibited from participating in such
views that any undertaking in accordance with a particular matter under the first paragraph may affect the integrity, cause unfairness, or bring about disorderliness 7 in the trading of securities listed
specified in the contract, or to demand the other party to enter into a contract under subsection (1) or (2). “derivatives business” means the undertaking to provide services as the following: (1) a
as specified in the contract, or to demand the other party to enter into a contract under subsection (1) or (2). “derivatives business” means the undertaking to provide services as the following: (1) a