appropriate within the specified period. If the applicant fails to comply or proceed as required, the Office shall deem that (Translation) -4- such applicant does not intend to apply for an approval to be
consideration. Meanwhile, as long as Zipmex continues its business operations, the company is subject to business suspension and is required to return assets to its clients or proceed as per their requests. If
investment scheme, securities company shall proceed to examine investor’s qualifications at least as follows: (1) arranging investor to self-declare identity; (2) requesting information and documents
standards of services of the management company, in appointing a representative under Clause 2, the management company shall proceed as follows: (1) having an agreement, in writing, for appointment of a
with standards of services of the management company, in appointing a representative under Clause 2, the management company shall proceed as follows: (1) having an agreement, in writing, for appointment
as provide appropriate and adequate information in line with standards of services of the management company, in appointing a representative under Clause 2, the management company shall proceed as
executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of the Securities and Exchange
. When it appears that any executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of
prohibited characteristics of personnel in securities businesses. In case the applicant appears to possess any prohibited characteristics, the Office shall proceed in accordance with the rules and procedures