licensed to undertake the securities business in the category of securities brokerage or securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives business in the
securities brokerage, securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives business in the category of derivatives agent or derivatives dealer; Repealed3
, securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives business in the category of derivatives agent or derivatives dealer; Repealed 3 ; “Notification on Standard of
for Undertaking Businesses as Derivatives Business Operator (No. 2) dated 14 December 2017; 2 Clause 2 In this Notification: “licensee” means: (1) person licensed to undertake securities business
, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who
, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “general investor” means an investor who is
for approval of a person who shall perform duties as auditor of the securities company and the finance and securities company as follows: Clause 1. The Notification of the Office of Securities and
of a person who shall perform duties as auditor of the securities company and the finance and securities company as follows: Clause 1. The Notification of the Office of Securities and Exchange