personnel who obtained the approval from the SEC Office in accordance with the rules specified in the notification of the SEC Office, be responsible for contacting, soliciting or giving advice related to
--------------------------------------- Clause 12. 9 Derivatives broker shall arrange to have personnel who obtained the approval from the SEC Office in accordance with the rules specified in the 6 As amended by the SEC Office Notification No
--------------------------------------- Clause 12.9 Derivatives broker shall arrange to have personnel who obtained the approval from the SEC Office in accordance with the rules specified in the 6 As amended by the SEC Office Notification No
analysis for not less than three years within five years prior to the date of submission of the application. 2. Having obtained a certificate (level 3) in Chartered Financial Analyst (CFA) or Certified
to securities investment or securities analysis for not less than three years within five years prior to the date of submission of the application. 2. Having obtained a certificate (level 3) in
of Loan Transaction, which is equivalent to the rate of 1.08 percent per annum plus 1 percent. Such amount is even more than the return that the Company may have obtained if it had continually
may be; “auditor” means a certified public accountant who has obtained an approval from the SEC Office; “trust manager” means a person performing the duty of a trust manager pursuant to trust instrument
investor or client, the derivatives trading system or the overall capital market, the benefits so obtained or damages incurred shall be included in the calculation for the administrative fines, but not
and semi-annual reports may be obtained free of charge from the representative. Past performance is no indication of current or future performance. The performance data do not take account of the