to check whether the work performance of such designated person is within the scope of power, duties and responsibilities; (2) determining clearly the rules concerning consideration for approval of

shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the

shall monitor and supervise its personnel, who are responsible for providing investment analysis, consultation or planning to clients, to perform their duties within the specified scope as approved by the

, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a

; (2) Confirmation statement; (3) The evidence of margin call in the case where the derivatives broker calls for a customer to deposit additional margin; (4) Account of derivatives trading of each

(confirmation statement); (3) evidence of margin call in cases where the derivatives broker calls for a customer to deposit additional margin; (4) account of derivatives trading of each customer. A derivatives

the purpose of compliance with this Notification, the SEC Office is empowered as follows: (1) issuing detailed Notifications under the scope of this Notification in order that any intermediary would

: ............................................................................................................................... 2. Starting Date of Operation: ............................................................................................................ 3. Details of the Company: 3.1 Scope of operation of the

………………… company List of supplementary documents to the application for approval: O an organization chart of the company; O detail of scope of duties and responsibilities of the positions applied for approval; O

scope and description of delegated responsibilities of each position (job description). *** The number of experience years may be indicated in periods of time. **** For example, the Audit Firm has 3