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stipulated in the first paragraph. Clause 5. Any securities company wishing to be granted an exemption from the requirement of independent director shall submit a request for an exemption to the Office

written by such board of directors. In case of any material amendment, change or modification to such policy and plan, intermediaries shall comply with the requirement set out in the first paragraph (1) or

shall comply with the requirement set out in the second paragraph. Clause 7. A securities company shall update information relating to the personnel in charge of operations under Clause 6(2) and of the

: .......................................................................................... 4. Academic degree(s) ( Bachelor's degree in....... (FIELDS OF STUDY)........ from ….(INSTITUTION) ............. (NAME)................ ( Master's degree in .......... (FIELDS OF STUDY)....... from

on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is

Office shall have the authority to exempt the derivatives broker from the requirement of the proportion of independent directors in Paragraph 1 on a temporary or permanent basis. In this regard, the SEC

categorized type of the client , the intermediary shall notify the client to acknowledge the result of the client ’s categorization, rights, restrictions and risk level, including right to request for changing