Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established under foreign law
Derivatives Business Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established
investor” shall have the same definitions as specified in the Notification of the Securities and Exchange Commission concerning Determination of Definitions of Institutional Investor, Ultra-High Net Worth
Determination of Other Financial Institutions Eligible to Apply for Securities Business Licenses Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities
Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking
or a relationship in any aspect or any other circumstances. “executive” means a manager, deputy manager, assistant manager, department director, or any person who holds a position equivalent to any of
; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
company which wishes to make offering convertible bonds at lower market price to a specific person (placement), the applicant has complied with additional requirement as prescribed in Clause 13/1; (6) the
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