provisions under Division 2: Supervision and Control of Chapter 4: Securities Business of the SEA, in whole or in part. 1.3 Paid-up registered capital of securities company The SEC has discretionary power to
, managers or persons with power of management of the management company who manages the mutual fund under its supervision. (Translation) 3 (5) Not being involved in the management of any mutual fund in such a
, managers or persons with power of management of the management company who manages the mutual fund under its supervision. (Translation) 3 (5) Not being involved in the management of any mutual fund in such a
amending the supervision of major shareholders, amending the supervision of persons who are not a director or do not have executive positions but have managing power in business operator, including
of Derivatives Business Operators dated 3 August 2009 stipulate that the appointment or consent to have any person become or act as a director, manager or person with power of management of derivatives
company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive
director, manager or person with power of management; (3) “Person with power of management” means executive director, deputy manager, assistant manager, department director, branch manager and shall also
person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval and approval for appointment of an
person to be or to act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application
will invest in derivatives issued by any issuer or traded in any derivatives exchange which is not under the supervision of the Office, the Office shall have power to specify types of derivatives