shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary for inspecting the applicant’s financial condition, business operation, assets or any
Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary for inspecting the applicant’s financial
this Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary for inspecting the applicant’s
Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary for inspecting the applicant’s financial
place of the tasks of an audit committee. Qualifications of Audit Committees of Securities Companies Having no responsibilities in management of day-to-day operations A minimum number of two members
other persons to place a trading order at a higher or lower price than it should have been. 1. Trading of securities for price stabilization under the underwriting agreement with the securities issuing
other persons to place a trading order at a higher or lower price than it should have been. 1. Trading of securities for price stabilization under the underwriting agreement with the securities issuing
securities and derivatives mean acting as a market or trading center, which in brief means a place where investors can trade securities or derivatives. Any persons who wish to operate a business as a secondary
securities and derivatives mean acting as a market or trading center, which in brief means a place where investors can trade securities or derivatives. Any persons who wish to operate a business as a secondary
: Detail Content Debt Securities Plain Bonds or Bills Private Place ments to Limited Number of Investors (PP-10) Private Placement to Institutional Investors (II) Private Placement to