. …………………………………………………………….. 4. …………………………………………………………….. 5. …………………………………………………………….. (Sign) ………………………. Consider person Date …………………….. ** In case where the applicant intends to appoint an agent to perform the duties of private
. …………………………………………………………….. 3. …………………………………………………………….. 4. …………………………………………………………….. 5. …………………………………………………………….. (Sign) ………………………. Consider person Date …………………….. ** In case where the applicant intends to appoint an agent to
. Clause 8. A securities company shall not appoint any person to be an agent for the custody of client’s assets unless such appointment complies with the following rules: (1) the person appointed by a
securities company shall not appoint any person to be an agent for the custody of client’s assets unless such appointment complies with the following rules: (1) the person appointed by a securities company as
, Derivative broker shall not appoint any other person to provide the service exception where the service provided from customer contact person for Derivative broker and outsourcing services according to the SEC
complaint in accordance with the rules specified in the notification of the SEC Office. Clause 27/1 15 In servicing as Derivative broker, Derivative broker shall not appoint any other person to provide the
complaint in accordance with the rules specified in the notification of the SEC Office. Clause 27/115 In servicing as Derivative broker, Derivative broker shall not appoint any other person to provide the
company shall appoint only one person from such register to be Fund Manager according to rules under Clause 8, or Clause 17 the first paragraph (3); (2) in case the management company appoints its employee
undertake securities business in the category of securities brokerage. Clause 19 In considering an application for account opening and entering into an agreement with a client to appoint a securities company
company licensed to undertake securities business in the category of securities brokerage. Clause 19 In considering an application for account opening and entering into an agreement with a client to appoint