; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the
; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the
operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities
operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities
undertaking of such legal entity; (2) be able to show that its operational system will be prompt for operating securities business in the category of investment advisory service; (3) be able to show that its
selling securities in such a way that does not involve a change of beneficial ownership of such securities; 2. Placing a securities purchasing order while being aware that oneself or an associate has made
selling securities in such a way that does not involve a change of beneficial ownership of such securities; 2. Placing a securities purchasing order while being aware that oneself or an associate has made
business in the category as applying for license and other activities as permitted by the SEC; (4) be able to show that its operational system will be prompt for operating securities business in the category
, subsidiary, associate company, a major shareholder, a controlling person, unless such foregoing relationships have ended for at least two years prior to the date of filing. Not being a provider of
risk occurs Type of operation Important points What kind of business does the company, subsidiary, associate company do? Is it a product or a service? From which business is the major income derived? How