Notification of the Department of Business Development, the chief accountant will be considered having fulfilled the condition of attending a refresher course in accounting as required by the SEC Notification No
position or the condition that can access inside information through performance of duties; (5) Juristic person whose business is under control of the persons under (1) (2) (3) or (4). Trading
position or the condition that can access inside information through performance of duties; (5) Juristic person whose business is under control of the persons under (1) (2) (3) or (4). Trading
condition or result of operation which the SEC may consider that the securities company severely suffers loss, the consideration on which shall take the following factors into account; (a) difference of
condition or result of operation which the SEC may consider that the securities company severely suffers loss, the consideration on which shall take the following factors into account; (a) difference of
benefits from the property Manage the trust according to the trust instrument and relevant laws Calculate and disclose the asset value of the trust and the units Maintain the property in a ready condition
omnibus account under a foreign mutual fund management company. 1.2 Relaxation on the unitholding proportion with condition under the following cases: (1) In the case of unitholding in ETF by the
omnibus account under a foreign mutual fund management company. 1.2 Relaxation on the unitholding proportion with condition under the following cases: (1) In the case of unitholding in ETF by the
be in form as specified by the SEC. Clause 6 In issuance of securities business license in the category of inter - dealer brokerage, there shall be a condition specifying that the licensee shall
be in form as specified by the SEC. Clause 6 In issuance of securities business license in the category of inter - dealer brokerage, there shall be a condition specifying that the licensee shall