undertaking derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel . Clause 4 In case an intermediary has

managing the assets possessed by the intermediary under receivership in accordance with the Bankruptcy Law . Clause 5 In proceeding with the actions under Clause 4(1), the official receiver shall render

approval from the SEC Office to be a personnel in the capital market business and holding the position under Clause 5, Clause 6, Clause 8 or Clause 9 has possessed prohibited characteristics under Division 1

holding the position under Clause 5, Clause 6, Clause 8 or Clause 9 has possessed prohibited characteristics under Division 1, the SEC Office shall proceed as follows: (1) in case of prohibited

this Notification. Additionally, in case the service provider has lacked qualifications, possessed prohibited characteristics or been no longer suitable to be a service provider, an immediate change of

to be current at reasonable time or when it appears that the possessed information are incorrect or erroneous. In addition, the intermediary shall have a system for keeping such received information in

that the possessed information is incorrect or erroneous. In addition, the intermediary shall have a system for keeping such received information in the manner of being able to reuse in conjunction with