carry out the supervision on behalf of such person together with the following documents (1) Documents showing shareholding structure of companies in the financial conglomerate; (2) Documents showing

clients’ order for accuracy and completeness disbursement 1.5 Control of receipt and disbursement of money including relevant documents 1.6 Collection and delivery of financial and other relevant documents

of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the

for business expenditures for the period of 12 months from the date of approval □ 6. Supporting documents for consideration under Clause 5 (5) : In the case where the shareholder is a financial

Assets of a Securities Company dated 4 January 2000 shall be repealed and replaced by the following texts: “(2) a financial institution whose core businesses are already under supervision and are licensed

the certificate of registration of juristic person / establishment of a body of persons; 1.2 a copy of the financial statements or the profit and loss statements, in case of a body of persons, for the

financial stability with capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least

the CIS 1.3 Amount and details of units of the CIS offered for sale 1.4 Expected selling price per unit (e.g. NAV or NAV+front-end fee) 1.5 Financial statement (if applicable) 1.6 Fund manager and major

/ policy 1.2 Capital of the CIS 1.3 Amount and details of units of the CIS offered for sale 1.4 Expected selling price per unit (e.g. NAV or NAV+front-end fee) 1.5 Financial statement (if applicable) 1.6

, shareholding structure of the entity, nature of business, place of incorporation, place of operating business, financial status, objective of transaction, as well as all documents concerning identification data