established under specific law; or (6) newly established limited company or public limited company to undertake securities business in the category of investment advisory service under this Ministerial
Apply for Approval on Establishment of Limited Company or Public Limited Company to Undertake Securities Business in the Category of Mutual Fund Management and Period for Filing Application By
specific law as specified by the SEC and published in the Government Gazette; or (6) newly established limited company or public limited company to undertake securities business in the category of private
company or public limited company which is newly established for operating securities business in the said category mutual fund management under this Ministerial Regulation. Clause 3 Limited company or
foreign commercial bank or foreign life insurance company under the third paragraph shall also have qualifications specified under the second paragraph. Clause 4 Limited company or public limited company
> Fundraising > Debt Instrument > Structured Notes Regulations SHARE : Detail Content Debt Securities Structured Notes Private Placements to Limited Number of Investors (PP-10) Private
III-compliant Instruments') Private Placements to Limited Number of Investors (PP - 10) II & HNW [1] PO [2] Approval Qualifications and approval rules - Application shall be submitted for
Regulations SHARE : Detail Content Debt Securities Subordinated Instruments for Capital of Commercial Banks ('Basel III-compliant Instruments') Private Placements to Limited Number of Investors (PP
license in the category of venture capital management under this Ministerial Regulation shall- (1) be a limited company or a public limited company newly established to operate securities business in the
actions: 1. Suspend a filing of a new application for normal or automatic approval for a maximum period of not over one year; 2. Prohibit the mutual fund management company from the initial public