the same type for no apparent reason, which might indicate an intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to
of shareholding structure, whereby all legal entities in such group have relationship with each other as parent company or subsidiary company, or each legal entity in such group is held by the same
each legal entity in such group is held by the same legal entity, whether directly or indirectly, in the amount or in aggregation of exceeding fifty percent of the total number of shares with voting
years as of the date of submission of the application, the applicant shall have attended a training course relating to the same areas administered by the association or a training institute in any of the
person has passed the course for more than two years as of the date of submission of the application, the applicant shall have attended a training course relating to the same areas administered by the
. In this Notification: (1) The term “Executive” shall have the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics
Notification: (1) The term “Executive” shall have the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and