providing services. Clause 2 Person intending to undertake securities business in the category of inter - dealer brokerage shall file an application for approval of establishment of limited company or public
shall file an application for approval of establishment of limited company or public limited company to undertake such business with the SEC Office, provided that such application shall be in form and
pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
/ X X Disclose information to the public / / / * Except the cases of exceeding one-third limit from investment in ASEAN CIS. All votes there of can be counted according to the proportion of
/ X X Disclose information to the public / / / * Except the cases of exceeding one-third limit from investment in ASEAN CIS. All votes there of can be counted according to the proportion of
with other criteria pursuant to Section 56 of the Securities and Exchange Act (including the case where a company limited is transformed into a public company limited). Audit reports do not have the
must also take into account the protection of investors. Regulatory Suumary The criteria for approving ESOP apply to the following business and securities: Business: Public company limited incorporated
license in the category of venture capital management under this Ministerial Regulation shall- (1) be a limited company or a public limited company newly established to operate securities business in the
establishment of mutual fund (1) Applying for normal approval The mutual fund management company shall submit an application for approval of the establishment of a mutual fund together with all required
establishment of mutual fund (1) Applying for normal approval The mutual fund management company shall submit an application for approval of the establishment of a mutual fund together with all required