documentation. 4 Clause 7 In order to perform trust business, an approved person shall: (1) commence trust business only after the SEC Office examined that the applicant has already prepared operating system and
service shall be in form specified in the SEC’s Notification. Clause 10 The licensee to operate securities business in the category of investment advisory service shall commence securities business
with the following conditions: (1) The licensee shall commence operation of derivatives business in the category specified in the license only after the Office having completed its inspection, is of the
comply with the following conditions: (1) The licensee shall commence operation of derivatives business in the category specified in the license only after the Office having completed its inspection, is of
) Disclose the opinion of the Audit Committee on the appropriateness and adequacy of the person holding the position of the internal control unit head with regard to educational qualifications, experiences and
educational qualifications, experiences and training for performing such duties; (3) Clarify whether the appointment, removal and transfer of the head of the internal audit unit requires the Audit Committee’s
securities companies or provided by training institutes approved by the Office; or (ii) being a lecturer, instructor or full-time teacher or guest lecturer at university-level educational institutions accepted
companies or provided by training institutes approved by the Office; or (ii) being a lecturer, instructor or full-time teacher or guest lecturer at university-level educational institutions accepted by the