” means a securities company licensed to undertake securities business in the category of securities underwriting; (5) “executive” means a manager or an employee holding the position of departmental manager
licensed to undertake securities business in the category of securities underwriting; (5) “executive” means a manager or an employee holding the position of departmental manager or higher who is responsible
) “securities underwriter” means a securities company licensed to undertake securities business in the category of securities underwriting; (5) “executive” means a manager or an employee holding the position of
disqualification to leave the company. Clause 5. The securities company shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit
arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit; (2) A securities operation unit, the securities company may arrange
disqualification to leave the company. Clause 5. The derivatives broker shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A derivatives services unit
manager and the following work units: (1) A derivatives services unit; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives
Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> Fund manager Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market Supervisory Board