operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance; In the case where the derivatives broker lacks of qualification
; In the case where the derivatives broker lacks of qualification under (3) or (5), the derivatives broker may be granted an approval from the Office only when the derivatives broker cause the relevant
qualification under (3) or (5), the securities company may be granted an approval from the Office only when the securities company cause the relevant executive or personnel who rendered the company into such
settlement of dispute between the securities company and the customer. In the case where the securities company lacks of qualification under (3) or (5), the securities company may be granted an approval from
Unofficial translation FORM 35-E2 Letter of Consent (Inspection of the director and executive’s qualification on the company’s request) Attention: Secretary General, the SEC Office Whereas I
submitted as attachments.) Details of the partners or equivalent in the Audit Firm, a total of .......... persons Names and Last names Educational Qualification Registration No. Performing audit Experience in
shall be paid within ten days as from the date the SEC Office notifies the result of preliminary consideration that applicant possesses qualification and does not possess prohibited characteristics: (1
is less than one percent of the total amount of the shares sold of that company; (9) being a person not having educational qualification, work experience or other qualification as specified in the
company is less than one percent of the total amount of the shares sold of that company; (9) being a person not having educational qualification, work experience or other qualification as specified in the