segregating the unit of trading function from the unit responsible for defining factors for product selection. 6. Implementing a renumeration structure that does not tie up solely to sales KPI, for the
with law controlling business undertaking of such legal entity; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within
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
; (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
set aside reserve capital in accordance with law controlling business undertaking of such legal entity; (2) be able to show that its operational system will be prompt for operating securities business
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
stage of the filing. Guarantee of income At least one income guarantor shall be a juristic person. The trust instrument shall contain a provision specifying that the guarantor of income agrees to bind as
) to show how the principles are applied. If signatories fail to apply the principles to their operation, they will be delisted. Participants >10,000 entities from 130 countries. It is “the