specific person. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such consultation by incorporating in
) governmental financial institution established under a specific law. Division 1 Prohibited Characteristics Clause 28 Personnel in the capital market business shall not possess the following prohibited
possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.
such measures; (3) the client is a government agency, a state enterprise or a juristic person established under specific laws; (4) the client has qualities as prescribed by the Securities Industry
providing payment services to clients or the ultimate beneficiary changes materially or inappropriately, or there is a reasonable ground to suspect the reliability, accuracy or completeness of the information
. SECTION 55 A person eligible to apply for an approval to undertake trust business shall be: (1) a commercial bank under the Commercial Banking Act; (2) a financial institution established under specific law
numerical assessment results, if possible), tendency or probability of occurrence. Supplementary information on specific measures already put in place and substantial alleviation of risk impacts may also be
Commission No. Kor Thor. 4/2557 Re: Ongoing Capital Adequacy of Some Specific Intermediaries dated 5 June 2014; (2) Notification of the Securities and Exchange Commission No. Kor Thor. 12/2560 Re: Ongoing
organization ; (3) unit or organization of foreign government, international organization and juristic person under law of foreign jurisdiction; (4) juristic person established by specific law; and (5) issuing
procedures (including independence, quality standards, etc.)? If yes, please describe. 2 Does the firm have specific Continuing Professional Development (CPD) policies and procedures for all staff members and