through an agent who is not able to reach a satisfactory solution of the customer; (3) record the complaint in (1) from the customer in writing with the customer’s signature for certification prior to the
is not able to reach a satisfactory solution of the customer; (3) record the complaint in (1) from the customer in writing with the customer’s signature for certification prior to the securities
(Notification of Securities and Exchange Commission) Form 104-4 Certification of Executive Profile of Securities Company 14. Report/Form (Notification of Securities and Exchange Commission) Form 104-5 Form for
) Form 104-3 Application Form for an Approval of Executive of Securites Comnpanies 7. Report/Form (Notification of Securities and Exchange Commission) Form 104-4 Certification of Executive Profile of
and Exchange Commission) Form 104-3 Application Form for an Approval of Executive of Securites Comnpanies 15. Report/Form (Notification of Securities and Exchange Commission) Form 104-4 Certification
more than three months prior to the date of application submission; (7) draft of terms and conditions of warrants; (8) a certification letter of independent directors’ qualifications. 2 In cases where
capital market. The fraudulent activities include forging licenses and falsely claiming certification of the SEC and official authorities. There were deceptive uses of names and images of market