Unofficial translation FORM 35-E3 Letter of Request for Checking the Director and Executive Qualification (Inspection of the director and executive’s qualification on the individual’s request
Unofficial translation FORM 35-E2 Letter of Consent (Inspection of the director and executive’s qualification on the company’s request) Attention: Secretary General, the SEC Office Whereas I
shall be paid within ten days as from the date the SEC Office notifies the result of preliminary consideration that applicant possesses qualification and does not possess prohibited characteristics: (1
company is less than one percent of the total amount of the shares sold of that company; (9) being a person not having educational qualification, work experience or other qualification as specified in the
. Chapter 1 Qualification of Applicant _________________ Clause 3 An applicant applying for the license of precious metal derivatives brokerage shall be newly established limited company or public limited
” means gold, silver or platinum. Chapter 1 Qualification of Applicant _________________ Clause 3 An applicant applying for the license of precious metal derivatives brokerage shall be newly established
that such approval shall be valid until 31 December 2013. Clause 3. Provision in Clause 2 shall not be applicable with personnel in the capital market that uses qualification of directorship or executive
qualification and prohibited characteristics of director and executive of securities company; “manager of infrastructure fund” means infrastructure fund manager and fund manager; “infrastructure fund” means
operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance; In the case where the derivatives broker lacks of qualification