revoked: O yes O however, such case has already been granted exemption by the SEC; O pending application for exemption from SEC; O other cases (please specify)…………………………………. O no 6.4 Being a director
with managing power of a financial institution whose license has been revoked: O yes O however, such case has already been granted exemption by the SEC; O pending application for exemption from SEC; O
investors (private placement) shall be in compliance with Chapter 3; (3) For an offer for sale of newly issued warrants without payment for such warrants, a public limited company shall be granted an approval
relating to operation of the branch office In the case where the management company does not comply with (2) to (4), the management company may be granted permission from the Office only when the management
may be granted permission from the Office only when the management company cause the relevant executive or personnel who is responsible for such non-compliance to leave so as such person is no longer be
qualification under (3) or (5), the securities company may be granted an approval from the Office only when the securities company cause the relevant executive or personnel who rendered the company into such
settlement of dispute between the securities company and the customer. In the case where the securities company lacks of qualification under (3) or (5), the securities company may be granted an approval from
under (3) or (5), the derivatives broker may be granted an approval from the Office only when the derivatives broker cause the relevant executive or personnel who rendered the company into such