; (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
market and a lead appraiser obtaining an approval from the SEC. The Institute of Appraisal Profession under the first paragraph shall be recognized by the SEC as an appropriate organization for supervising
Association Associations related to securities businesses Summary of major provisions in supervising the related associations The SEC has the power to make an order for the directors or members to clarify
managing the investments. Establishment of Mutual Funds Offering for Sale of Investment Units Management of Mutual Fund Private Funds or Provident Funds Limitations on Unitholding over One-Third of
managing the investments. Establishment of Mutual Funds Offering for Sale of Investment Units Management of Mutual Fund Private Funds or Provident Funds Limitations on Unitholding over One-Third of
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
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