such incident ……………………. (attachment) (if any) O No (5) Was removed from office of director, manager or person with managing power of other securities company under section 144 or section 145 of the
Provisions ______________________ Clause 17. The person having been granted approval to be Category A investor contact based on the qualification of being Director or Executive, but not the position of Manager
Director or Executive, but not the position of Manager, of the securities company prior to the effective date of this Notification shall continue to be Category A investor contact and perform the duties of
company shall have independent directors in the number of at least one-fourth of its board of directors. In cases where an independent director of a securities company deceases, resigns, or whose approval
work units. Clause 7 A securities company shall have independent directors in the number of at least one-fourth of its board of directors. In cases where an independent director of a securities company
are independent directors. In cases in which an independent director of the derivatives broker dies, resigns, or his or her approval by the SEC office is revoked; or in the case that the derivatives
least one-quarter of the company’s directors are independent directors. In cases in which an independent director of the derivatives broker dies, resigns, or his or her approval by the SEC office is