. Stocks right and warrants means value of right issued by the company to the holder in order to purchase an ordinary share or preferred share, including shares issued for increasing paid-up capital warrant

statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of

derivatives dealer , the derivatives dealer shall engage as a counter party in derivatives trading solely with the following clients: (1) institutional investors (2) other juristic persons who trade in

of advice is solely a part of or an incidental to the conduct of business as a derivatives broker or a derivatives dealer, or any other persons who give advice in a manner as specified in the

characteristics indicating untrustworthiness ; 2. Listing of my name onto the Issuing Company’s Director and Executive Database destines solely for the purpose of consideration on the issuing company’s

agreed by the parties. The arbitrator shall determine whether to hold hearings or to take verbal or written assertion, or whether the proceeding shall be conducted solely upon the basis of documents or any

pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of

the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the

shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the shareholder’s equity

measures for balancing the power between the Board of Directors and the Management in (1) increasing the proportion of independent directors to more than half, or (2) appointing an independent director to