approval to offer debt securities for sale. This will allow the SEC to carry out a preliminary scrutiny of qualifications of issuers for investors. Disclosure – issuers are required to make complete and

integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the

  Investors (II) Private  Placement  to  High Net  Worth  Investors  (HNW) Public  Offering  (PO) Approval ​ ​ ​ ​ Qualifications and approval rules - The approval will be granted upon the registration of the

the same criteria as required for the secondary public offering will be applied.   Related Manuals/ Guidelines   Appendix 1: Events that would require a company to update company information in the

of bonds only. - For the offering of bonds, the approval will be granted upon the registration of the transfer restriction, features of bonds, draft terms and conditions and a bondholders

; any legal entity company obtaining securities business license in any other categories exempted by the SEC’s Notification on the ground that the major shareholder’s qualifications will not affect

appraisal, ​​including operational system to ensure that it would be able to comply with standards and ethics regarding appraisal profession for widely used appraisal; Having experience in appraisal services

  (PO) Approval ​ ​ ​ ​ Qualifications and approval rules - Applicable to the offering of bills and bonds. - For the offering of bonds, the approval will be granted upon the registration of the transfer

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statements) or audited (annual financial statements) by an SEC-approved auditor which are monitored and reviewed by the SEC on a quarterly basis to ensure that investors will obtain accurate and complete