and securities businesses; 1.2 determining shareholding proportion of the finance and securities company’s shareholders in the newly established limited or public limited company, during the

, 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

business in the category of inter - dealer brokerage. Newly established limited company or public limited company shall, within one hundred and twenty days from the date of approval, file an application for

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

to responsibility for mutual fund management. Clause 4 Any person holding more than ten percent of total shares sold of newly established limited company or public limited company under Clause 3 shall

company for operating securities business in the category of venture capital management as approved, and the newly established limited company or public limited company shall, within thirty days from the

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

approved, and the newly established limited company or public limited company shall, within thirty days from the date on which the approval is granted, file the application for securities business license in

Gazette; or (6) newly established limited company or public limited company to undertake securities business in the category of private fund management under this Ministerial Regulation whose shares are

Investment Advisory Service of Newly Established Limited Company or Public Limited Company   17. Report/Form (Notification of Securities and Exchange Commission) Form 90-6 Application for a License to