Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the Category of Securities Finance
, approved person shall proceed with establishment of limited company or public limited company to undertake securities business in the category of inter - dealer brokerage. Newly established limited company
attached with supplementary documents as specified by the SEC. Clause 3 In case where the SEC is of the view that limited company or public limited company to be established has qualifications as specified
license in the category of venture capital management under this Ministerial Regulation shall- (1) be a limited company or a public limited company newly established to operate securities business in the
company or public limited company which is newly established for operating securities business in the said category mutual fund management under this Ministerial Regulation. Clause 3 Limited company or
established under specific law; or (6) newly established limited company or public limited company to undertake securities business in the category of investment advisory service under this Ministerial
specific law as specified by the SEC and published in the Government Gazette; or (6) newly established limited company or public limited company to undertake securities business in the category of private
sufficient and complete information, as well as continuously providing knowledge and understanding on investment in bonds to the public.Moreover, SEC has established a mechanism for the investors to be able
fund to be established fully complies with all conditions as follows: 1. In the case that the mutual fund has the policy to invest in assets that are exposed to foreign exchange rate risk, the