of the key characteristics and associated risks to investors as well as attach the factsheet to the registration statement and the prospectus. The factsheet must be in the SEC approved format and
Filing of the Registration Statement for Securities Offering
without having to apply for a license or registration. By the authorized agency…………………………………… Country……………………………………………………………… 2.2 Regulation on scope of business operation: □ No □ Yes, please specify the
permitted to be a derivatives dealer without having to apply for a license or registration. By the authorized agency…………………………………… Country……………………………………………………………… 2.2 Regulation on scope of business operation
Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertakin
(section 16) Conduct Regulation of Derivatives Business (section 18) Others General Definition (section 3) Licensing and Registration (section 16) Conduct Regulation of Derivatives Business (section 18