with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for a client to obtain
addition, for flexibility of the Transaction, the Board of Director Meeting has resolved that the Executive Committee and/or any person assigned by the Board of Director shall be authorized to conduct any
addition, for flexibility of the Transaction, the Board of Director Meeting has resolved that the Executive Committee and/ or any person assigned by the Board of Director shall be authorized to conduct any
at least of the following: □ (1) Number of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel
of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel hasbasic understanding of general laws
securities company , the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities company . Clause 5 The provisions in Clause 19
securities brokerage business undertaken by a securities company, the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities
administrative panel or the SEC, as the case may be, for commencing the administrative proceedings under this Chapter. 3 Clause 7.1 The department in charge as assigned by the SEC Office to perform operational
company increased the percentage shareholding to 99% by diluting the shares of the shareholders who do not wish to increase capital. Source: Shareholders’ details dated March 11, 2020 Authorized signatory