sectors. The amended rules specify that certain matters remain under the SEC supervision, including issuers? non-involvement in illegitimate businesses. The SEC, however, does not impose requirements
documents. Please specify (If any). ……………………………………………………………………. ……………………………………………………………………. □ 1. □ (1) □ (2) □ 2. □ (1) □ (2) □ 3. □ (1) □ (2) □ (3) □ (3.1) □ (3.2) □ (3.3) □ (3.4) □ (3.5) □ (3.6) □ (3.7
business expansion (if any). In the case where no personnel has been hired, the applicant shall submit the criteria for qualifications of such position. □ 5. Other supporting documents. Please specify (If
Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established under foreign law
Derivatives Business Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established
, mutatis mutandis, unless otherwise specified. For the purpose of complying to the specified rules in Paragraph 1, the Office may prescribe details of applying mutatis mutandis of an offer for sale of
certificates of the persons applied for approval; O form of curriculum vitae certification (form 104-2/OrPor 24-2) of the persons applied for approval; O others (specify) …………………………………………………….... Remarks : In
certificates of the persons applied for approval; O form of curriculum vitae certification (form 104-2/OrPor 24-2) of the persons applied for approval; O others (specify) …………………………………………………….... Remarks: In