; (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
, brings about different outcomes, and can be applied on different levels. The supervisory mechanism covers three areas, i.e., self-discipline, market discipline and regulatory discipline. To create
, brings about different outcomes, and can be applied on different levels. The supervisory mechanism covers three areas, i.e., self-discipline, market discipline and regulatory discipline. To create
Regulators (IFIAR), a multilateral and international forum that brings together independent audit regulators from different jurisdictions. The regulatory body wishes to be a member of IFIAR shall be
management company, or a fund supervisor); (B) A matter that affects unitholders in all classes with different degree of effects/an issue that affects the interests of unitholders requires a resolution with
days. (3) The criteria for dividend payment are different from other funds. The mutual fund management company may choose one of the following rules: (3.1) The dividend shall be paid from dividend or