application for approval of establishment of limited company or public limited company to undertake such business with the Minister for his approval under the SEC’s recommendation. Such application shall be
recommendation. Clause 4 Once the Minister has granted his approval under Clause 3, approved person shall establish limited company or public limited company to undertake securities finance business. The company
from the date receiving the SEC’s recommendation. Clause 4 Upon the Minister’s approval under Clause 3, the approved person shall proceed with establishment of new limited company or public limited
Solicitation or advice on securities or derivatives investment based on the value of the underlying asset such as gold price/crude oil price/agricultural products by an unlicensed company. ● Information of
granting approval for establishment of company in accordance with the first paragraph within thirty days from the date receiving the SEC’s recommendation. Clause 4 Upon the Minister’s approval under Clause 3
receiving the SEC’s recommendation. Clause 4 Upon the Minister’s approval under Clause 3, approved person shall proceed with establishment of limited company or public limited company to undertake securities
limited company under the first paragraph within thirty days from the date of receiving the SEC’s recommendation. Clause 7 Upon the Minister’s approval under Clause 6, the approved person shall proceed with
, Finance Minister by the SEC's recommendation prescribes type of legal entity eligible to apply for approval on establishment of limited company or public limited company to undertake securities business in
investment advisory service under this Ministerial Regulation shall be any of the followings- (1) commercial bank under law on commercial banking; (2) finance company under law on undertakings of finance
approval on the establishment of limited company or public limited company under the first paragraph within thirty days from the date receiving the SEC’s recommendation. Clause 4 Upon the Minister’s approval