scope of rules and regulations which would serve as standards for derivatives fund management must be set out for the supervision of the derivatives business in the category of derivatives fund management

intends to share the branch manager with other full-service branch offices such securities company shall submit the application together with document evidence showing the details of management plan and

management and supervision of the operation of the full-service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the derivatives broker within

company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive

Supervision Department Tel: 0-2263-6071 Fax: 0-2263-6332 Encl: Guidelines for renewal of approval for investor contacts Cc: Chairman, Association of Securities Companies; Chairman, Association of Investment

as securities registrar, representative of bondholders, auditor, legal advisor, advisor or manager under the management agreement. 5.2 Other material facts 5.2.1 Specify other information that may

(2) as the case may be. For the purpose of Paragraph 1, the term “ senior management ” means manager, assistant manager, or a person whose position is in the same level as the aforesaid position but is

act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval

to be the highest level responsible person in the management of a company; “ head of department ” means a person responsible for the work in the departmental level of a company; “ branch manager

fund manager, the management company shall comply with the following rules: (1) a person to be appointed shall be a person whose name is on the register of persons qualified to be property fund manager