to submit an application for approval as capital market business personnel for the applicant and notify the commencement and termination of duty performance, including renewal, of the approved
, conditions, and procedures prescribed by the SEC Office. The application for approval under Paragraph 1 shall comprise the followings: (1) application for approval of the qualifications of the applicant; and
approval according to the forms and procedures provided in the Office’s electronic work system. The Office will grant an approval only when comply with the following conditions: (1) the applicant have
applicant have qualifications as prescribed under Clause 6; (2) the applicant does not have any prohibited characteristics as prescribed under Clause 7, and (3) the applicant has paid for the application fee
Office to visit and inspect the audit firm with which the applicant is affiliated or any other establishment necessary for the consideration of the application for approval, the applicant shall be
to be investor contact shall be divided into two categories which are Category A Investor Contact and Category B Investor Contact. Clause 4. The applicant for approval as category A investor contact
obtain approval to be investor contact shall be divided into two categories which are Category A Investor Contact and Category B Investor Contact. Clause 4. The applicant for approval as category A
applied for a renewal approval, the applicant shall use the application form attached to this Notification together with the relevant evidentiary documentation demonstrating that it has the qualifications