to provide underlying shares, which must not be less than the difference between the market price of the shares at the time of exercise of right and the exercise price Protection measures for warrant
respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its operational system will be prompt for operating securities business in
obtaining the license, not have operational records indicating cheat or dishonest, irresponsibility, reckless in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable
respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its operational system will be prompt for operating securities business in
proceedings instituted by the authorities in accordance with law on protection and suppression of money laundering; (4) was convicted by the court’s final judgment on the offences relating to property committed
is prepared by Legal Department with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or
protection of shareholders (notice calling letter, resolution of the shareholders' meeting, right to veto) Definition of a market price can be one of the following: Weighted average price (closing or average
investor protection, the SEC is empowered with rights to order the mutual fund management company to take any action or to refrain from any action, in following cases: (1) The actual objective or substance
investor protection, the SEC is empowered with rights to order the mutual fund management company to take any action or to refrain from any action, in following cases: (1) The actual objective or substance
instruments are aimed at creating a balance between the protection of investors and effective fund mobilization. The SEC considers qualifications of securities issuers and supervises the disclosure of