considering the appropriateness of investment, the objective of investment, the financial position or the demand of any specific person. “investment planner” means a person providing investment consultation to
consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product, without planning or analyzing of investment. “investment planner
business in the category as stipulated in (a) or investment banking business and is under the supervision of an entity which has similar supervision to that of the Office; (5) “Derivatives business operator
by such laws to undertake securities business in the category as stipulated in (a) or investment banking business and is under the supervision of an entity which has similar supervision to that of the
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
take the highest responsibility in Accounting and Finance, the person assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
of derivatives exchange to be in consistent with cost in connection with supervision on such business borne by the SEC Office.