the law on securities and exchange , including regulations issued by virtue of such law in the part of their responsibilities; **(6) having personnel to be investment consultant, investment planner or
exchange 4 , including regulations issued by virtue of such law in the part of their responsibilities; **(6) having personnel to be investment consultant, investment planner or investment analyst, as 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
their responsibilities; **(6) having personnel to be investment consultant, investment planner or investment analyst, as the case may be. In this regard, such personnel shall obtain an approval from the
on policy making, management or operation of the business; and (d) Any person who, by circumstances, operates the business or has responsibilities in the operation of the business as executives
of the Board of Directors so that investors will be able to analyze the composition, roles and responsibilities and appropriateness of the Board of Directors in consistent with the business demands in