: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ (please use an enclosure if there is more than one market maker) Part D: Participating Dealer (PD) of Foreign ETF in
: _____________________________________) Please specify the name and address of the intermediary (please use an enclosure if there is more than one intermediary): Name: ____________________________________________________________________
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
persons of the transactions when the accounts are opened or when the first transaction is processed in case where there is no account-opening (initial KYC/CDD) and on an on-going basis throughout the course
a year or when there is a significant change affecting the risks and impacts as such. In doing so, it shall be complied with the following approaches: 3.1 Defining Critical Business Function Companies
the arbitrator who ranks first in the claimant’s selected list; (3) in cases where the respondent intends to challenge all of the three arbitrators in the claimant’s selected list because there is a
facing financial difficulty. In addition, there is no any fact indicating any failure or inappropriateness in operational control and compliance with good business practices. Division 2 Registration
the operational procedure under (1); (3) in the case where a proprietary trading occurs during any of the following periods, the intermediary shall be able to demonstrate evidence proving that there is
) Other bodies (please provide details: _____________________________________) Please specify the name and address of the intermediary (please use an enclosure if there is more than one intermediary): Name