deemed that an intermediary has already complied with this Notification. 4 Chapter 1 Rules on Establishing Domestic or Oversea Branch Office ____________________ Division 1 An approval ________ Clause 7 An
___________________ Division 1 Appointment of an agent for selling investment unit or receiving requisition of investment unit redemption ___________________ Clause 4 In appointing a natural person to be an agent for
appointment of a marketing representative of private fund. Chapter 1 Appointment of a Representative ___________________ Division 1 3 Appointment of an agent for selling investment unit or receiving requisition
maintain such evidence complete and up-to-date for at least five years from the transaction date and the maintenance of such evidence during the first two years shall be in such a manner that can be promptly
securities trading and maintain such evidence complete and up-to-date for at least five years from the transaction date and the maintenance of such evidence during the first two years shall be in such a manner
or receiving requisition of investment unit redemption; (2) the appointment of a marketing representative of private fund . Chapter 1 Appointment of a Representative ___________________ Division 1
of private fund. Chapter 1 Appointment of a Representative ___________________ Division 1 3 Appointment of an agent for selling investment unit or receiving requisition of investment unit redemption
user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other financial