supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or products in the
in securities for investors. There are two categories of investor contact s which are category A investor contact who is allowed to conduct an analysis on the value or suitability of the purchase or
[such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core business is under direct supervision of another
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for
information 16. Management discussion and analysis Part 3 Information on the offer for sale of securities 1. Details of the securities being offered for sale 2. Transfer restriction of the securities being
contacts : the type A investor contact who conducts an analysis on the value or suitability of any trading or investment in derivatives, and the type B investor contact who does not conduct an analysis on
analysis of securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules