comply with the law, related Notifications and professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the
Securities Dealing which are not Debt Instruments (No. 9) dated 2 May 2006. (Unofficial Translation) Page 4 of 12 9 In case the independent director deceases, resigns or SEC has annulled the approval, or
, Conditions and Procedures of Securities Brokerage and Securities Dealing which are not Debt Instruments (No. 9) dated 2 May 2006. (Unofficial Translation) Page 4 of 12 9 In case the independent director
report of net liquid capital calculation of the last business day of the month to the SEC Office by the seventh day of the following month; (3) in case where a securities company have any subordinated
calculation of the last business day of the month to the SEC Office by the seventh day of the following month; (3) in case where a securities company have any subordinated liabilities or financing lease
second paragraph of Section 25 and the notification of the Capital Market Supervisory Board concerning prohibited characteristics of major shareholders of derivatives business operator, and in the case
operator, and in the case where such major shareholder is a legal entity, its director, manager and partner do not have any of such prohibited characteristics; 6) Being able to show its sound and effective
) assets contributed by the parent company to the securities clearing house in the form of a written and legally enforceable commitment (explicit guarantee). 2 In case of financial resources for liquidity