this application. b. Please mark an X in the appropriate box corresponding to your answer c. Send complete and signed form to Accounting Supervision Department The Securities and Exchange Commission

in the category of derivatives dealer under the law of such foreign country; provided that this is limited to the case derivatives dealer registration. Clause 3 . An applicant for derivatives business

and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer

in the category of derivatives dealer under the law of such foreign country; this is limited to only apply for derivatives dealer registration; (4)1 financial institution established under specific law

foreign country, there shall be consideration on change or uncertainty regarding economic, political, social and legal issues of the foreign country as well as the complexity in business continuity

conforming to the rules under Clause 6/1; (3) in case of investment units having been sold in a foreign country, the appointment to be an agent therein shall be conforming to the rules under Clause 8. Clause 6

to the rules under Clause 6/1; (3) in case of investment units having been sold in a foreign country, the appointment to be an agent therein shall be conforming to the rules under Clause 8. Clause 6 In

licensed to undertake the derivatives business by a regulatory agency on derivatives in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO); (5) “ investor

and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.

attendance For a purpose of considering the renewal of approval for investor contacts, the Contacts and the organizer must keep the following relevant evidence: 5.1 The Contacts – the complete evidence in full