possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
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
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
: 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
: 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
are to support businesses of different models; enhance competitiveness for the intermediaries; suit respective risk types of different business activities; lessen unnecessary burdens on the business