|
Article 9
|
In filing an application with the FSC for the permit to establish a securities firm, the promoters shall submit all of the following documentation:<br/>1. The application form (Annex 1).<br/>2. Articles of incorporation.<br/>3. Business plan: specifying the principles of business operation; internal organization and division of labor; personnel recruitment; overview of the site and facilities; and financial forecasts for the next 3 years.<br/>4. Minutes of the promoters' meeting.<br/>5. List of promoters (Annex 2).<br/>6. Statement from the promoters declaring that none of the circumstances in the subparagraphs of Article 4 exists (Annex 3).<br/>7. Certification of the deposit made under Article 7.<br/>8. Documentation affirming the availability of the computer linkage as required under Article 8.<br/>9. Other documents as required by the FSC.
|