meet the period specified in the second paragraph, and the Office does not notify the result of consideration, or does not order to the securities company, it shall be deem that the Office approves the
securities business, derivatives business or any other business of financial service or participates or supports or having participated or supported such act of other person; (2) there are reasonable grounds
trading at the intermediary’s place of business for a period of not less than five years from the date of investment in a manner that supports an inspection by the SEC Office without delay. Chapter 2
accuracy of orders, and can be examined that such orders are acquired as prescribed in the prospectus; (d) having a system for accepting customer’s complaint which supports the compliance with in the
Online Branch Office --------------------------- Clause 4. It shall be deemed that the Office approves the establishment of the full-service branch office and online branch office, provided that on date
Branch Office --------------------------- Clause 4. It shall be deemed that the Office approves the establishment of the full-service branch office and online branch office, provided that on date the
within thirty days from the date when the Minister or the Securities and Exchange Commission approves the termination of business or revocation of license, as the case may be. Clause 15 Licensees shall
termination of business or revocation of license, a licensee shall pay the unpaid fee or the remaining fee within thirty days from the date when the Minister approves the termination of business or revocation
regulatory authority for information technology, and the service provider that supports the operation of the organization’s information systems, and update contacts of each channel. Clause 11 An intermediary
technology, and the service provider that supports the operation of the organization’s information systems, and update contacts of each channel. Additional Guidelines 1. The intermediary should assign a senior