for the Public. The applicant shall pay for the license fee on the date of receiving the license. Clause 9 The fees specified under Clause 8 shall be exempted in the case where the applicant is a
exempted from the duty to comply with the Notification of the Securities and Exchange Commission re: Maintenance of Financial Condition of Licensed Derivatives Broker . The SEC Office is empowered to require
provisions under Clause 3 and Clause 4. However, where such securities company has been, and continues to operate as, the derivatives broker, it shall not be exempted from the duty to comply with the
restrictions and other relevant matters have been already clearly specified in details of the scheme, the derivatives fund manager shall be exempted from compliance with the first paragraph if the mutual fund
, investment restrictions and other relevant matters have been already clearly specified in details of the scheme, the derivatives fund manager shall be exempted from compliance with the first paragraph if the
to the executives of the securities company licensed to undertake securities business in the category of mutual fund management for foreign investors or the exempted person under Section 103(7). Clause
derivatives broker would be exempted from complying with clause 3 and clause 4 since such position has been transferred. Clause 8 All notifications of the SEC Office, directives and circulars issued under or