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
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
, who are capable and have experiences beneficial to business operation; (3) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control
service shall be in form specified in the SEC’s Notification. Clause 10 The licensee to operate securities business in the category of investment advisory service shall commence securities business
contain a corrective measure. / X X The votes of the excess units over one-third shall not be counted * / / / Pay dividend in the total amount X / / Correct the proportion within two months
contain a corrective measure. / X X The votes of the excess units over one-third shall not be counted * / / / Pay dividend in the total amount X / / Correct the proportion within two months
private fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
mutual fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
in form specified in the SEC’s Notification as published in the Government Gazette. Clause 11 The licensee to operate securities business in the category of private fund management shall commence
transaction (RPT) or potential RPT or if there is, there must be adequate measure to manage conflict of interests. The company must not be dependent on the business of a person who may have a conflict of