persons whose duties are to contact, solicit, advise or plan investment for investors or a securities company’s client and are divided into two categories: Category A Investor Contact who is authorized to
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
, without planning or analyzing of investment. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such
specific person. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such consultation by incorporating in
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this
explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such instruction to the date on
representative office abroad .................................................................................................................................................... 3.2 Having a work plan for
undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units