Details is entrusted to any person, the following statement and structure shall be applied: “To be used as an evidence that all documents are warranted by me, I entrusted

) …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. The company has already examined the curriculum vitae of the persons above, O thereby certifies that the persons applied for approval to be executives possess all qualifications without any prohibited

application for approval to the Office together with the following document evidence: (1) scope of services provided during the hours and days applied for. (2) monitoring and supervision plan to be use during

for registration to be a general derivatives business operator. 1. Information of the applicant, Category of business applied for registration □ to be a derivatives broker □ to be a derivatives dealer

precedure under (1) and (2) shall be applied mutatis mutandis until the selection of the arbitrator from the arbitrator list of the Office can not be made. If the Office is of opinion that there is not a

in the mutual fund management scheme and prospectus: (a) the projection of incomes and expenses of the mutual fund which includes the following information: 1. key assumption applied which is clear and

and disclosed in the mutual fund management scheme and prospectus: (a) the projection of incomes and expenses of the mutual fund which includes the following information: 1. key assumption applied which

management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the

Associations, which are approved by the Office; (8) “Office” means the Office of the Securities and Exchange Commission.                 Clause 3. This Notification shall not be applied to those financial

of conformity to this Notification, the transitional provisions shall be applied, as specified in details in Chapter 8. Division 4 Powers of the SEC Office _____________________________ Clause 5 For