required, then a report for each type of securities shall be filed separately). Name of person(s)/juristic person(s) Type(s) of securities Number of Units 2 Voting rights3 Percentage4 Prior to commencement
separately). Name of person(s)/juristic person(s) Type(s) of securities Number of Units 2 Voting rights3 Percentage4 Prior to commencement or termination of relationship as: ( ) concert party ( ) juristic
there appear to be additional fact and the Office notify of such necessity to the securities company prior to the period of thirty days, the Office may extend the period for consideration as needed. When
through an agent who is not able to reach a satisfactory solution of the customer; (3) record the complaint in (1) from the customer in writing with the customer’s signature for certification prior to the
is not able to reach a satisfactory solution of the customer; (3) record the complaint in (1) from the customer in writing with the customer’s signature for certification prior to the securities
consist of at least six [6] hours’ study on derivatives business knowledge. (2) submit to the Office the renewal application, at least one month but not exceeding four months, prior to the expiry date as
months, prior to the expiry date as per the form and procedures provided in the Office’s electronic work system together with documents evidence or a reference of course attendance under (1); (3) pay the