allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
business in all categories or which is suspended from its securities business in all categories by order of the SEC or the Office, and when the Office has received notice in writing from the securities
categories by order of the SEC or the Office, and when the Office has received notice in writing from the securities company or when the order of the SEC or the Office has come into force, shall be exempt from
order of the SEC or the Office, and when the Office has received notice in writing from the securities company or when the order of the SEC or the Office has come into force, shall be exempt from filing
auditor shall disclose the facts and material impact on the financial statements in his audit report on which he is to sign in order to give his opinion. Any auditor who fails to comply with the provisions
. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well as provide appropriate and adequate information in line with
office. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well as provide appropriate and adequate information in line
whether directly by itself or through its representative office. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well
concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no