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
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
suspects the investors of involvement in an offense of money laundering or financial support to terrorist. The assets are seized or sequestered by the authority. (8) The SEC is empowered to instruct the
suspects the investors of involvement in an offense of money laundering or financial support to terrorist. The assets are seized or sequestered by the authority. (8) The SEC is empowered to instruct the
life insurance, as the case may be, such applicant shall- (1) be able to maintain capital funds and set aside reserve capital in accordance with law controlling business undertaking of such legal entity
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain