obtains a securities business license type C or is in a process of applying for such license. Clause 9 An applicant shall be granted a derivatives business license type Sor-1 only upon meeting the following
obtains a securities business license type C or is in a process of applying for such license. 5 Clause 9 An applicant shall be granted a derivatives business license type Sor-1 only upon meeting the
which obtains a securities business license type C or is in a process of applying for such license. 5 Clause 9 An applicant shall be granted a derivatives business license type Sor-1 only upon meeting the
company. Clause 2. A securities company may appoint or allow another securities company’s executive to be or perform duty as its executive or advisor upon being granted approval from the Office on condition
be or perform duty as its executive or advisor upon being granted approval from the Office on condition that the securities company is able to demonstrate establishment of the organizational structure
Provisions ______________________ Clause 17. The person having been granted approval to be Category A investor contact based on the qualification of being Director or Executive, but not the position of Manager
through such qualifications. Chapter 5 Transitional Provisions ______________________ Clause 17. The person having been granted approval to be Category A investor contact based on the qualification of being
securities company shall be terminated upon the person’s vacating the position, such as upon an expiration of the term of office and no re- appointment has been granted, or due to a tender of resignation from