Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the
Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the
/Form (Notification of Securities and Exchange Commission) Certified Form Relating to Acting in Compliance with Related Laws of Applicant who is Juristic Person/Financial Institution or Individual
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Independent Director of an Intermediary 03/06/2014 01/07/2014 10. Notification of the Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be
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Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
characteristic as specified in the Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel and such person is no longer fit to perform the duties of
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