operator in the category of securities brokerage or investment advisory; (2) derivatives business operator in the category of derivatives agent or derivatives advisory; “ supervisor of investment line of
; (2) derivatives business operator in the category of derivatives agent or derivatives advisory; “supervisor of investment line of work” means a supervisor of the investment line of work under the Law
-year period before the filing date of the application for approval with the SEC Office, and having worked as an audit supervisor or the final audit reviewer before an auditor affixes signature in giving
supervisor to the investors and the general public by a method that sufficiently allows the investors and the general public to be continuously aware of information at every particular period as appropriate to
fund supervisor to the investors and the general public by a method that sufficiently allows the investors and the general public to be continuously aware of information at every particular period as
agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
supervisor; (4) a private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
(No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund supervisor; (4) a