where any independent director of a securities company passes away or resigns or his/her approval is revoked by the Office, the securities company shall appoint a new independent director within 90 days
Exchange Commission. Clause 2. In cases where any independent director of a securities company passes away or resigns or his/her approval is revoked by the Office, the securities company shall appoint a new
Office may collect and process the personal data of minors. For any activity related to the SEC Office, it is assumed that a minor cannot perform this activity on his or her own. The SEC Office will ensure
authorised person of the CIS Operator of the NRI CIS. The person who signs shall state his/her full name and capacity, and shall ensure the declaration is dated.) (name of the CIS Operator of the NRI CIS
signed either by the CIS Operator of the NRI CIS or an authorised person of the CIS Operator of the NRI CIS. The person who signs shall state his/her full name and capacity, and shall ensure the
been fined for any offense under the laws governing securities and exchange in respect of unfair activities on securities trading or under any foreign laws of similar natures; (11) Having his or her
securities and exchange in respect of unfair activities on securities trading or under any foreign laws of similar natures; (11) Having his or her approval for acting as a mutual fund manager or a private fund
into a written contract with the customer who authorized it to perform as his/her agent in derivatives trading, such contract shall not have any statements denying the derivatives broker’s