securities business is lost or destroyed, the association related to securities business may submit an application for a substitute of the license. Clause 6 A license for establishment shall take effect on its
the day before or of 1 hour before the occurrence of emergency incidents, as the case may be. In addition, there should be provided an approach on provision or preparation of substitute data in
another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or affiliates, they may be presented in business groups; - In case
as to apply appropriate rules and regulations to the specific nature of such funds or groups of customers as guaranteed funds, foreign investment funds, customers who are provident funds, government
exclude persons who are allocated as a result of their position as director, employee, or patron of the issuer. (b) prepare a summary report of securities allotment categorized by client groups, that are
shall not include persons who are allocated as a result of their position as director, employee, or patron of the issuer. (b) prepare a summary report of securities allotment categorized by client groups
in general comparison with competitors (numerical data not required)), customers’ characteristics, target groups, sales and distribution channels. In case of export, specify the domestic/export sales
business groups); (3) In case of a holding company, the size of the company operating the core business and that of others shall be specified in comparison with the Company’s size under relevant regulations
substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application
under other laws incapacitating the management company from complying with the rules and conditions to be exempted; (3) the management company has other measures that are sufficient and may substitute the