supervision of other organization and later obtain license to undertake securities business; (b) Any juristic person established under foreign laws which is permitted by such laws to undertake securities
holds shares more ten percent of the outstanding shares. No. Name Number of shares (thousand unit) Percentage of the outstanding shares (%) 1 2 3 4 Part 3: Purpose of submitting an application □ 3.1 For
or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund
, the debt instruments must be traded every two weeks on average and having the average turnover rate of the most recent three months not lower than 6.25 percent of the outstanding. (4) foreign debt
held by a fund at an amount more than seventy five percent of its outstanding shares and representing more than seventy five percent of its total voting rights; (f)7 the debt instruments issued by the
management company or connected persons. In this regard, the connected persons refer to the following persons: (c.1) Any person who is not a central government organization, a provincial government
be deposited by clients as the margins for their outstanding derivatives positions shall be in accordance with the minimum rate or value prescribed by the derivatives exchange or the value calculated
) The value of outstanding investment units is insufficient to accommodate the expenses for further investment management; (2) The nature of the sale of investment units, the number of unitholders or the
exchanges in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO). Clause 4 For the purpose of regulating securities brokerage business undertaken by a
rules prior to making such transaction: (1) In cases where the resolution is requested by sending a letter to the unitholders, the resolution shall be passed by more than half of the outstanding