every days. Clause 4. Unless otherwise prescribed in Clause 6, the securities company shall open on different hours and days as indicated in Clause 3(1) within the following rules: (1) in case of

characteristics under the Notification of the Ministry of Finance shall be prohibited to be major shareholder within the following periods: The prohibited characteristics Level of seriousness of behavior Maximum

Business , an intermediary shall at least comply with the following rules: (1) such revision and updating thereof shall be performed within the following periods of time: (a) the information for the purpose

securities to the SEC Office within [the following] specified period by indicating the following details: (1) 15 days as from the end of each month having the offer for sale of debt securities. In connection

, applicable rules and regulations and ethics and professional standards within two years prior to the application date. (2) having one of the following qualifications and work experiences: (a) having passed the

, following the approval. If the approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office shall remove the name of such person from

Clause 37 of the Notification on Standard Conduct of Business , an intermediary shall at least comply with the following rules: (1) such revision and updatiing thereof shall be performed within the

financial position as specified under Clause 4 (1), the custodian shall notify to the Office and client within the day following the date of acknowledgement that the financial position cannot be maintained

procedure provided in the Office’s electronic work system along with either of the following evidence or reference showing that within the period of two [2] years prior to the date of submission of renewal

conformity to the following rules: (1) providing system for such arranging and keeping concisely, orderly and promptly to use or verify such stored things within a reasonable time; (2) the system as prescribed