financial status and business operation: Securities companies, excluding such securities companies licensed to undertake securities business in the category of securities finance, shall prepare and file this
operation or transaction with the approval from the SEC or the Office. Clause 5. Any securities company, which have duty to prepare and file with the Office such reports on the financial status and business
transaction with the approval from the SEC or the Office. Clause 5. Any securities company, which have duty to prepare and file with the Office such reports on the financial status and business operation
Clause 7. Clause 3. The derivatives brokers shall establish branch office only after obtain an approval from the Office according to rules prescribed herein. Chapter 1 Full-service Branch Office and Online
services to the transaction set forth in Clause 7. Clause 3. The derivatives brokers shall establish branch office only after obtain an approval from the Office according to rules prescribed herein. Chapter
keeping documents and evidence relating to the operation to facilitate the operation audit; (2) Arrange to have personnel to perform duties as fund manager, subject to approval of the Office, and arrange to
interest, including keeping documents and evidence relating to the operation to facilitate the operation audit; (2) Arrange to have personnel to perform duties as fund manager, subject to approval of the
evidence relating to the operation to facilitate the operation audit; (2) Arrange to have personnel to perform duties as fund manager, subject to approval of the Office, and arrange to have contact persons
to Issuance and Offer for Sale of Securities. Clause 3 This Notification shall be applicable to: (1) Application for Approval and Granting of Approval for an Offer for Sale of Depositary Receipts under