or no records which may affect the company’s credibility should it undertake fund management business, and whether the company has prepared for the operations of the branch office to be established, an
: “intermediary” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
institutions established under other laws. Clause 4 In this Notification: “intermediary” means a securities company and a derivatives intermediary. “branch office” means a branch office of an intermediary, no
, excluding the branch office of [an intermediary which is] financial institutions established under other laws. Clause 4 In this Notification: “intermediary” means a securities company and a derivatives
] financial institutions established under other laws. Clause 4 In this Notification: “intermediary” means a securities company and a derivatives intermediary. “branch office” means a branch office of an
Institution , a life insurance company under the Law on Life Insurance , and a financial institution established under other laws: (1) securities financing business; (2) brokerage, dealing or underwriting of
shareholders’ equity of the securities company; (b) financing lease which is under the condition allowing for early termination of lease by the securities company as the lessee without purchasing the asset