following securities regardless of the purpose of issuance: (a) share; 2 (b) share warrant; (c) any other securities as prescribed by the SEC Office. “foreign company” means a company established under
functions are performed for any third parties or for the trustee, securities companies, commercial banks or financial institutions established under specific law, and shall include the person performing duty
institution established under specific law. Additionally, [the term of “authorized management person”] also means a person who is a member of a committee performing duty relevant to business management of
handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings
less than five years. In the first two years, those information and documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification
than five years. In the first two years, those information and (Unofficial Translation) documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3
the first two years, those information and (Unofficial Translation) documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification
renewal of an applicant as a registered auditor, and (b) regularly review or inspect the quality of work of the registered auditors and their audit firms in accordance with International Standards on