of total shares sold of such legal entity; (3) 2 have objectives to operate securities business in the category as applying for license and other activities as permitted by the SEC; (4) be able to show
show that its operational system will be prompt for operating securities business in the category of venture capital management; consideration on which will be taken into account its internal control
insurance company licensed under law on commercial banking or law on life insurance, as the case may be, such applicant shall- (1) be able to maintain capital funds and set aside reserve capital in accordance
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
Regulation. Clause 2 Applicant for securities business license in the category of investment advisory service which is a legal entity under Clause 1(1) to (5) shall- (1) be able to maintain capital funds and
life insurance, as the case may be, such applicant shall- (1) be able to maintain capital funds and set aside reserve capital in accordance with law controlling business undertaking of such legal entity
been granted a license under this Ministerial Regulation shall comply with criteria, conditions and procedure specified by the SEC and shall maintain the formation and proportion of shareholding as
SEC and shall maintain the formation and proportion of shareholding as approved not less than five years from the date of obtaining securities business license unless the SEC gives a waiver thereof
: Is it compulsory to show the position of company secretary on the organizational chart? A: The Securities Law requires every listed company to appoint a company secretary, but showing the position on