. The operation under Paragraph 1(1) may be proceeded through a derivatives business operator approved by the SEC or registered with the SEC Office or through a person granted an approval in accordance
supplementing documents. Clause 7. The custodian may commence such securities business only after the Office has approved that the custodian has arranged its operation system and personnel to be ready to
shall assign the capital market business personnel approved by the SEC Office under the Notification of the Capital Market Supervisory Board governing the Rules on Capital Market Business Personnel , who
securities company as a source of contact for clients; and (4) complying with rules concerning analysis report translation specified by the bodies relating to securities business approved by the SEC office
, dealing or underwriting of investment units. “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and
) “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and develop securities business in the category of
person who is authorized by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has been approved by
approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person
act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval
issuing company under business reorganization plan that approved by the court under law on bankruptcy or debt restructuring agreement; 4. shareholders of issuing company in accordance with previous