|
Article 15-6
|
A securities firm may apply to concurrently operate a securities investment consulting enterprise to conduct securities investment consulting business pursuant to Article 10 of the Standards Governing the Establishment of Securities Investment Consulting Enterprises. The department heads and associated persons of the securities investment consulting enterprise shall furthermore satisfy the qualification requirements set out in the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises. However, the subject matter about which the securities investment consulting enterprise may consult shall be limited to the stocks of companies conducting equity crowdfunding on its crowdfunding platform.
|