Qualifications of Applicant _____________ Clause 4 An applicant for the registration as a derivatives business operator must be a juristic person as follows: (1) a commercial bank or a financial company under
Office may reject the application for approval of a public offering of newly issued securities under Part 2 or Chapter 2 of Part 3: 6 (1) the applicant or the offering of securities has the characteristics
following suspicious grounds, the SEC Office may not grant approval for the offer for sale of the debt securities: (1) the applicant or the offer for sale of the debt securities has the characteristics or
applicant submits a complete application and required documents; (2) Reducing a ban period for reapplying in the case where the application is withdrawn by the applicant, from six to three months; (3
to submit an application for approval as capital market business personnel for the applicant and notify the commencement and termination of duty performance, including renewal, of the approved
, conditions, and procedures prescribed by the SEC Office. The application for approval under Paragraph 1 shall comprise the followings: (1) application for approval of the qualifications of the applicant; and
approval according to the forms and procedures provided in the Office’s electronic work system. The Office will grant an approval only when comply with the following conditions: (1) the applicant have
applicant have qualifications as prescribed under Clause 6; (2) the applicant does not have any prohibited characteristics as prescribed under Clause 7, and (3) the applicant has paid for the application fee