|
Article 14-3
|
Where a securities firm files for offering and issuance of securities pursuant to Article 6 of the Criteria Governing the Offering and Issuance of Securities by Securities Issuers, it may refrain from engaging a lead securities underwriter to conduct assessment if it meets the following financial and operational requirements:
- None of the circumstances in Article 14-1, paragraph 1 exist.
- Its financial condition meets the provisions of Articles 13, 14, 16, 18, 18-1 and 19.
- Its regulatory capital adequacy ratio 6 months prior to the date of reporting is 200 percent or greater.
|