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
; In the case where the derivatives broker lacks of qualification under (3) or (5), the derivatives broker may be granted an approval from the Office only when the derivatives broker cause the relevant
performance of the fund shall be made only when it complies with the following rules: (a) the ranking or award specified in the advertisement has been granted by an agency or institution which follows the