securities company or employees of the securities company . Clause 21 A securities company shall trade securities according to orders of a client who is the account owner and shall have a reliable system to

securities, the terms “ warrant ” “ execise of rights under warrants ” “ institutional investors ” “ registration statement ” “ parent company ” “ subsidiary company ” “ executive ” “ major shareholder ” and

practicable to employees of the securities company, including those entrusted by the company. Also, the procedures shall accommodate non face-to-face contact with the clients and the use of new or developing

supervise its employees to comply with this Notification and the rules issued by the securities company in compliance with this Notification. Clause 22 In addition to those specifically prescribed, the SEC

. Division 3 Consideration of complaints and rule of practice for employees Clause 23. Repealed. Clause 24. A securities company shall have guideline for employees regarding securities trading control system

position of the business; 1.2 The explanation of business operation and main activities of the company, including securities business operation license of the securities company; 1.3 the amount of employees

reference. FORM 56-1 Annual Registration Statement For the financial year ending DATE MONTH YEAR Company: ............................................................................................... Note

. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale

, disposal or holding of securities or other assets; “management company” means mutual fund management company or private fund management company ; “mutual fund management company” means a securities company

. In this Notification: “Mutual Fund Management Company” means a securities company licensed to undertake securities business in the category of mutual fund management; “Private Fund Management Company