action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information

Notification, to [i] amend or refrain to act or [ii] act any action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6

regulations under Chapter 2; (2) engagement in agreements with clients prior to providing services shall comply with the regulations under Chapter 3; (3) provisions of investment analysis and providing

companies undertaking securities business. There are two types of investor contact , i.e., Investor Contact Type A permitted to conduct securities investment analysis, and Investor Contact Type B permitted to

; “securities investment analysis” means an analysis on information in connection with securities in order to make an advise or to disclosure such analysis directly or indirectly about the value or an appropriate

Planning, Real Estate Valuation, Project Feasibility Analysis, or Real Estate Loans, or having worked as Fund Manager of Fund for Solving Financial Institution Problems for a total period not less than three

statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of

securities investment, risk management relating to securities investment or securities analysis for not less than two years within five years prior to the application date. (b) having obtained a certificate

) engagement in agreements with clients prior to providing services shall comply with the regulations under Chapter 3; (4) provisions of investment analysis and consultation to clients shall comply with the

whether or not the analysis is fundamental or technical, in conjunction with such consultation, and shall mean an ASEAN investment analyst as well; “ ASEAN investment analyst ”9 means a person eligible to