maintain their qualifications, the SEC Office has the power to revoke the registration of derivatives business operator. Chapter 3 Transitional Provision _____________ Clause 13 A derivatives business
through such qualifications. Chapter 5 Transitional Provisions ______________________ Clause 17. The person having been granted approval to be Category A investor contact based on the qualification of being
Transitional Provisions ______________________ Clause 16. A person approved to be a fund manager prior to the date of 1 January 2008 shall continue to perform duties of fund manager provided that such person
manager of foreign capital market regulator accepted by the Office. Chapter 4 Transitional Provisions ______________________ Clause 16. A person approved to be a fund manager prior to the date of 1 January
regarding communication with and providing services to clients on a case-by-case or temporary basis. In this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause
shareholders and general investors. (3) being subject to the Notice Pending sign (NP) of the Exchange, or being temporary banned from trading its listed securities under the Trading Suspension sign (SP); (4
. Clause 40 If it is necessary, a securities clearing house or central securities depository may issue temporary rules or regulations without complying with Clause 36. If the Capital Market Supervisory Board
information or advice to clients in a seminar, the requirements on giving investment advice at seminars shall be complied with as well. Chapter 5 Transitional Provisions Clause 19 The personnel in the capital