Past Two Years and The First Quarter to the Most Recent Quarter or to the Extent the Actual Results of Operation are Available Information 20xx 20xx Quarter..... Total assets Total liabilities
or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an
for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an offer for sale of securities or
departmental manager or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information
(1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker of a securities company under Section 100 of
of operational function other than sub clause (1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker
intermediary or the SEC Office. Clause 11 An intermediary intending to outsource function related to business operation to a third party shall obtain an approval from the SEC Office before proceeding with the
SEC Office. Clause 11 An intermediary intending to outsource function related to business operation to a third party shall obtain an approval from the SEC Office before proceeding with the outsourcing