Executives of Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means
securities, the terms “ warrant ” “ execise of rights under warrants ” “ institutional investors ” “ registration statement ” “ parent company ” “ subsidiary company ” “ executive ” “ major shareholder ” and
company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive
executive of another company and shall not be a derivatives investment manager for any other persons in a manner which is similar to or which is in competition with the operation of the management company
person to be an executive of the company or in cases other than (2), the derivatives business operator shall proceed the followings: (a) in case of an appointment of a person to be director or manager, the
of work is to provide services for other persons or for the benefit of the company itself; “Executive director” means any person who is appointed by the board of directors as executive director or
qualification under (3) or (5), the securities company may be granted an approval from the Office only when the securities company cause the relevant executive or personnel who rendered the company into such
or capital markets or other similar lines of work regardless of whether the operation of such lines of work is to provide services for other persons or for the benefit of the company itself; “Executive
Director [ ] Independent Director and Member of Audit Committee Executive [ ] Executive (please specify title in the company) Date of Appointment : Part 1 : General Information 1.1 First name / Last name (in
company cause the relevant executive or personnel who is responsible for such non-compliance to leave so as such person is no longer be related with the management company. Clause 6. The Office shall