establishment of an association related to securities business to the SEC Office as per the Form specified by the SEC Office, together with the following evidentiary documentation: (1) the regulations of the
by submitting the Financial Advisor Application Form FA-1 together with the evidentiary documentation as specified thereunder in accordance with the guideline in the electronic work system of the SEC
). Chapter 2 Application Procedure and Fees __________________ Clause 6 An applicant shall file an application with the SEC Office, together with the evidentiary documentation via the form and method provided
evidentiary documentation via the form and method provided by the SEC Office on the SEC Office’s website. Clause 7 1 In the case where the SEC Office considers that the applicant has the correct and complete
a license under Clause 3 shall be submitted together with the following evidentiary documentation: (1)( details of the work system for preparing, procesing, storing and reporting provision of services
following evidentiary documentation: (1) details of the work system for preparing, procesing, storing and reporting provision of services as securities registrar, including the internal control system