transaction (RPT) or potential RPT or if there is, there must be adequate measure to manage conflict of interests. The company must not be dependent on the business of a person who may have a conflict of
Ministerial Regulations as follows: Clause 1 Person eligible to apply for license to undertake securities business in the category of inter - dealer brokerage shall- (1) not have shareholder or controlling
of inter - dealer brokerage shall- (1) not have shareholder or controlling person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records
persons. 2.2 In case of juristic persons: including unitholders and (1) A juristic person and a shareholder or a partner of the said juristic person who holds shares or partnership in such juristic person
persons. 2.2 In case of juristic persons: including unitholders and (1) A juristic person and a shareholder or a partner of the said juristic person who holds shares or partnership in such juristic person
pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
Ministry of Finance Re: Prescription of Conditions for Securities Company to Apply for Approval of Person to be Major Shareholder (as amended) Clause 1 In this Notification: "securities company" 1
Ministry of Finance regarding prescription of conditions for digital asset business operators to seek approval of the major shareholder The Notification of the Securities and Exchange Commission No. GorThor
Ministry of Finance regarding prescription of conditions for digital asset business operators to seek approval of the major shareholder The Notification of the Securities and Exchange Commission No. GorThor
Business (SFC) • Prescription of Conditions for Securities Company to Apply for Approval of Person to be Major Shareholder • Prescription of Type of Legal Entity Eligible to Apply for Approval on