SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of
In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation must be under appropriate supervision.SEC is revising the regulations regarding supervision of...
Type of securities : Common share | Effective Date : 06/05/2022 | Close Selling Date : 13/05/2022
effectiveness of financial function. Thus, the shareholder wealth is defined as the market capitalization. In this paper, Tobin Q ratio or Q ratio is applied as the shareholder wealth index. The Q ratio is
Outsourcing Function related to Business Operation to Third Party
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Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party
Securities Company Granted an Exemption from Application for Approval of Person to be Major Shareholder
following line of work, as the case may be: (a) a line of work relating to trustee services, trustee operation, compliance function of trustee services or other similar lines of work; (b) a line of work
function relating to trustee services, trustee operation, oversight of trustee operation or other similar business functions; (b) Business function relating to securities services, securities operation