licensed to undertake Type C securities business and a person licensed to undertake Type D securities business is eligible to undertake securities business relating to such share. For the purpose of the
are eligible for the program), (2) derivatives clearing house business, and (3) the securities trading center and derivatives trading center businesses. In this regard, the related regulations on
of December 2020. In any case, to be eligible for the waiver or the rate cut of annual fee, the securities issuers must not have a record of criminal fining or criminal complaint for failure to
allowed to apply for derivatives brokerage license limited to precious metals while licensed gold futures brokers will also be eligible to apply for such license to expand their brokering service to silver
financial products. To be eligible, those juristic persons must meet certain requirements, including (1) not being commercial banks, life insurers or securities companies which are already qualified for LBDU
obtain Investment Advisor or Derivatives Advisor licenses. However, those eligible to provide advice to retail investors must be screened by local securities firms as being competent and reliable foreign
submission of information disclosure forms or any documents for SEC’s consideration. Eligible social enterprises are those registered with the Office of Social Enterprise Promotion. Social enterprises