○ Licensing ○ Revocation of License ○ Business Office ○ Paid up Capital of asset management company • Private Fund Management ○ Licensing ○ Business Office Rules and Regulation
the following orders: rectification of non-compliance operation, restriction of defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc
; (4) with a CPA license suspended during the last three years before filing an application, unless the cause of such suspension is the same as of the SEC's suspension or revocation of the approval as
related to or because of one's own securities trading; or 7. Transferring or receiving a transfer of securities between each other. G roup 4: Other related cases 4.1 Placing, modifying or cancellation a
; Pledging and revocation of pledging of securities. The supervision of clearing house and securities depository center in accordance to the oversight framework for the supervision of financial market
been revocation of CPA license, unless the CPA license has been re-granted for 3 years before filing the application, (4) being suspension or revocation of approval as an auditor in the capital market
or having been suspension of CPA license during the past three years, unless the reason of suspension is the same as of the SEC's sanction, (3) having been revocation of CPA license, unless the CPA