, risks and conditions different from the provision of services by licensed securities business operators, and that the client’s consent is required prior to provision of such services; (4) make an

limitations, risks and conditions different from the provision of services by licensed derivatives business operators, and that the client’s consent is required prior to provision of such services; (4) make an

business prior to the date of submitting the application for operating investment advisory service and shall not apply to the investment advisory company which is any of the following juristic persons: (1) a

3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit

…………………………………………………… who is working for us has explained and informed the Client being Mr/Miss/Mrs/Company……………………………. …………………………….. so as to be aware of the risks relating to futures and/or options trading prior to opening

during the period from fifteen days prior to the first offering date to the offering closing date or the date of providing overallotment shares in full, as the case may be, except for the dissemination of

relating to securities offering which is not a registration statement or draft prospectus during the period from fifteen days prior to the first offering date to the offering closing date or the date of

, prior to the effective date of this Notification, the derivatives broker has existing subordinated liabilities, which are not included in the calculation of the total liabilities under Clause 2, in the

compliance of user account and password. · Providing the identification and authentication measure prior to access to the computer system strictly such as impose hardly password for presumption etc. and

Notification to ensure the intelligibility thereof in the operation, and to allow the Office to monitor such operation. Clause 20. Prior to the effective date of this Notification, if the work system and