(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
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 securities company within thirty days as
offices such securities company shall submit the application together with document evidence showing the details of management plan and supervision of the operation of the full-service branch offices
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
with document evidence showing the details of plans for management and supervision of the operation of the full- service branch offices managed by the same manager. The Office shall consider and notify
information with the Office in advance so as to ensure that such training course or seminar can be duly counted in the participation hours. The Office will inform the result of consideration within 15 days from
with the Office in advance so as to ensure that such training course or seminar can be duly counted in the participation hours. The Office will inform the result of consideration within 15 days from the
been [i] approved to establish or [ii] registered or [iii] managed by CIS operator being under the supervision of such agency. Clause 3 This Notification shall be applicable to a securities company
, or a client who is a provident fund or a private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another