advisory service under the law governing securities and exchange. Clause 4 This Notification shall apply to application for license and issuance of derivatives business licenses as follows: (1) derivatives
of the Securities and Exchange Commission. Chapter 1 Scope of the Provisions Clause 3. This Notification shall not apply to the appointment of a fund manager who makes decisions to invest or dispose of
of the Securities and Exchange Commission. Chapter 1 Scope of the Provisions Clause 3. This Notification shall not apply to the appointment of a fund manager who makes decisions to invest or dispose of
institutes accepted by the Office; “Office” means the Office of the Securities and Exchange Commission. Chapter 1 Scope of the Provisions Clause 3. This Notification shall not apply to the appointment of a
intend to apply for approval for investor contact. Clause 7. The approval for investor contact is given for two-year period, the first approval takes effect as from the approval date and the two-year
applicant does not intend to apply for approval for investor contact. Clause 7. The approval for investor contact is given for two-year period, the first approval takes effect as from the approval date and
applicant does not intend to apply for approval for investor contact. Clause 7. The approval for investor contact is given for two-year period, the first approval takes effect as from the approval date and
shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are
company. Clause 5 The provisions in Clause 19 shall also apply to securities dealing of a securities company mutatis mutandis. Chapter 1 Operational Control ___________ Clause 6 A securities company shall
company. Clause 5 The provisions in Clause 19 shall also apply to securities dealing of a securities company mutatis mutandis. Chapter 1 Operational Control ___________ Clause 6 A securities company shall