premise in advance within reasonable time. In case of closing of full-service branch office or online branch office, the securities company shall ensure that customer can use service of head office or other

branch office. Clause 16. The derivatives broker wishing to temporarily or permanently close the branch office shall notify the Office and publicly announced its closing at its premise in advance within

the SEC Office in advance within 15 days prior to such outsourcing. Clause 15 An intermediary shall have a policy, measure and guideline for outsourcing operational function to a service provider in

publicly about sale promotion in advance within appropriate period; (5) in case of sale promotion of offering for sale of investment units, a securities company licensed to undertake mutual fund management

Notification, to [i] amend or refrain to act or [ii] act any action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6

shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing

securities business shall be paid in advance before the first day of each calendar year except for the first year of obtaining the license whereby the license fee shall be paid upon receipt of the license at

less than the amount specified under the law controlling the undertaking of such business. (2) Within three years preceding the year of application filing toward the date which an approval is granted

documents. The Office shall consider such application within forty-five days as from the next following date after the Office receives such application and related documents in full and with accuracy. Clause

information with the Office in advance so as to ensure that such training course or seminar can be duly counted in the participation hours. The Office will inform the result of consideration within 15 days from