prohibited period to be major shareholder clause 4 (4)(5)(6)(7)(8) or (9) of the Notification of the Ministry of Finance minimal moderate intense one year three years five years clause 4 (10) of the
Capital Market Supervisory Board and one Notification of the Office of the Securities and Exchange Commission (Enclosures 1-3), which take effect from 16 June 2021. To ensure that business operators
investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or
approval for investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities: One or a combination of the following activities: (1) Attending training
, the Office has prescribed guidelines for renewal of approval for investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities: One or a
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
basis, the executive shall take such position at only one securities company. Clause 3. In applying for approval under Clause 2 , a securities company intending to obtain approval shall submit an