The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that the customer must place cash or listed securities as initial margin with securities company . However, bonds or investment units are not permitted to be place with securities company as collateral to increase purchasing power. SEC therefore proposes the inclusion of additional securities classes for...

applicant personal information - foreign auditor (normal)

The SEC has amended the regulations concerning supervision of personnel in capital market businesses by extending the renewal application submission period from September 1st to December 15th each

applicant submits a complete application and required documents;  (2) Reducing a ban period for reapplying in the case where the application is withdrawn by the applicant, from six to three months;  (3

of securities public offering ("the applicant") as follows: 1. Incomplete disclosure concerning reliance on the applicant?s major counterparties, which might have been misleading. The applicant?s

draft prospectus for initial public offering of shares. The SEC's probe found that {X1} Company and {A} did not exercise due care in verifying relationships between the applicant and a company in the case

Securities and Exchange Commission (public agency) Rules, procedures and conditions (if any) for submitting an application and granting an approval: 12.1 The applicant must be a foreign auditor under

, procedures and conditions (if any) for submitting an application and granting an approval: 12.1 The applicant must be a foreign auditor; 12.2 The applicant must have the following qualifications as specified

apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F Application for registration as a foreign auditor in the capital market. Signature of the applicant is required. (2) Applicant’s personal