shall be deemed to be the formation of a limited company or of a public limited company, as the case may be. The application for a license, application for an approval, the issuance of a license, and the
of interest. In the case where an executive holds a position required to work on a full-time basis, the executive shall take such position at only one securities company. Clause 3. In applying for
of interest. In the case where an executive holds a position required to work on a full- time basis, the executive shall take such position at only one securities company. Clause 3. In applying for
which does not cause conflicts of interest or provision of an effective measure to prevent such conflicts of interest. In the case where an executive holds a position required to work on a full- time
the date of the case is deemed final. Clause 3 A securities company shall proceed with a customer complaint in the following manners: (1) proceed to solve the problem described in the complaint rapidly
the case is deemed final. Clause 3 A securities company shall proceed with a customer complaint in the following manners: 2 (1) proceed to solve the problem described in the complaint rapidly. In case
found Stock: common stock or preferred stock or depository receipt (DR). Convertible Securities: warrant or convertible debenture or other securitiesconvertible to stock. In case of group report, disclose