market personnel possesses any prohibited characteristics prescribed under Part 1, the SEC Office shall refuse to grant an approval on the ground that such person possesses prohibited characteristics
by the management company to sell or accept redemption of units of mutual funds, as the case may be; “hedging” means becoming a counterparty in a derivative contract that possesses all of the following
prohibited characteristics of the personnel in securities business. In cases where there appears the fact that any director or executive of the securities company possesses any prohibited characteristics, the
any director or executive of the derivatives business operator possesses any prohibited characteristics, the SEC Office shall proceed as prescribed by the notification of the Capital Market Supervisory
obtaining approval from the SEC Office under Clause 11; (6) not appearing that the applicant possesses prohibited characteristics under Chapter 3; (7) not appearing that its directors, manager and person
notes or bills with due dates of less than three months etc.. In the case where the company possesses a fixed deposit, certificate of deposit and a bill which is due within three months but the company
dates of less than three months etc.. In the case where the company possesses a fixed deposit, certificate of deposit and a bill which is due within three months but the company intends to extend the due
following relationships with others: (1) spouse or child who has not yet become sui juris; (2) relationship between a juristic person and its shareholder or partner who holds shares or partnerships directly
increased and the Company is able to maintain its gross margin in the similar range as last year. 2 Financial Status 2.1 Assets At the end of 2016 and of Q2/2017, the Company possesses total assets of 480.00