, having obtained sufficient and appropriate audit evidence, concludes that misstatements, individually or in the aggregate, are material, but not pervasive to the financial statements ; from ( 2.1.1
person who obtained license under the first paragraph shall return the certificate of previous license to and obtain a new certificate of license under this Notification from the SEC Office. In this regard
services relating to such precious metal derivatives. A person who obtained license under the first paragraph shall return the certificate of previous license to and obtain a new certificate of license under
applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the category of securities brokerage not limited to debt
obtain licenses to undertake all types of securities business but not including financial institutions established by any other law which have obtained securities business licenses. Clause 4 A securities
) which obtain a securities business license in the category of securities brokerage not limited to debt securities or investment units; (3) a person who obtains derivatives business license in the category
investment units via the life insurance company; (11) “Derivatives Investor Contact” means a person obtained an approval to be derivatives investor contact according to the notification of the Office of the
. In this regard, the management company shall appoint only one [1] person who obtain approval to be listed in the register according to rules set out in the second paragraph of Clause 6. (2) in case the
for transactions, requirement to obtain approval from or report to senior management, face-to-face contact with the client or his ultimate beneficial owners or ultimate controlling persons, assessment
______________________ Clause 6 . Any person being at least twenty years old and intends to obtain an approval from the Office to be listed in the register of person qualified to be fund manager shall submit an