accordance with the following rules and shall supervise that its own personnel comply with such rules as well: (1) establish a written outsourcing policy having been approved by the intermediary’s board of
. (please fill details only in case of an application for approval to be an executive of a securities business licensee.) Name of Company and Position Holding shares of his or her own (in case of a director
where the SEC Office declines to grant an approval, on its own discretion, under Clause 7, or prohibits to perform the duties, suspends or revokes an approval under Clause 8(2) and (3), or Clause 9(3), or
Paragraph 1(1) (a) 4. of clause 18 shall rank the highest in short-term issue rating or the three highest in long-term issue rating. In the case where bill of exchange or promissory note under Paragraph 1
issue rating or the three highest in long-term issue rating. In the case where bill of exchange or promissory note under Paragraph 1 having no short-term issue rating or in case of depositing or investing
ART and AWM, which own and operate the business of separating and disposing of industrial waste in landfills with licenses having been obtained from the Department of Industrial Works, including but