------------------------- Approval of Securities Offering Others Securities Issuance Approval/Disclosure/After Sell Duties for ESOP Approval/Disclosure/After Sell Duties for ESOP of Foreign Companies Filing of the registration

the position of the Chairman of the Board of Directors is vacant or the Chairman is unable to perform his or her duties, the Vice-Chairman, if available, shall convene the meeting. In the absence of the

convene a Board of Directors meeting. In the event that the position of the Chairman of the Board of Directors is vacant or the Chairman is unable to perform his or her duties, the Vice-Chairman, if

Company; “investor contact” 2 means persons whose duties are to contact, solicit, advise or plan investment for investors or a securities company’s client and are divided into two categories: Category A

Characteristics of the Executives of a Securities Company; “investor contact” 2 means persons whose duties are to contact, solicit, advise or plan investment for investors or a securities company’s client and are

persons whose duties are to contact, solicit, advise or plan investment for investors or a securities company’s client and are divided into two categories: Category A Investor Contact who is authorized to

system ready for keeping assets into its custody; □ (3.8) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian

its custody; □ (3.8) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian; □ (3.9) System to ensure that the

--------------------------------------- Clause 5. Derivatives broker shall set organization structure, policies and scopes of duties and responsibilities including business operation of working units related to undertake derivatives brokerage

set organization structure, policies and scopes of duties and responsibilities including business operation of working units related to undertake derivatives brokerage business to demonstrate the