guideline for consideration of any problematic issues which many arise from the enforcement of this Act.

consider and notify, the result of its consideration to derivatives broker within thirty days as from the date of receipt of complete application and supporting documents, except for the case that the system

].............., CPA License No. ......................, I hereby provide evidentiary documentation for your consideration, as follows: 1. Evidence on the registration of juristic person / body of persons: 1.1 a copy of

of consideration of my application and supervision of my duty performance throughout the approval period. For your kind consideration. Yours Sincerely, Signature

brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom

(Form 61-2) (The same form as submitted to the SEC Office for approval request, which contains current information, is acceptable). For your kind consideration. Yours sincerely, Signature

customer within seven days from the date the derivatives broker completes its consideration of the customer complaint; (3) notifying the customer to acknowledge the rights to propose the complaint to be

the hours and days applied for. The Office shall consider and notify the result of consideration within thirty days as from the date of receipt of completed application and document evidence, unless

result of its consideration to derivatives broker within thirty days as from the date of receipt of complete application and supporting documents except for the case that the system for inspection and

Insurance Company/ Finance Institution Established Under Specific Law Particulars For the SEC Officer □ 1. Supporting documents for consideration under Clause 4 (1) : □ (1) Certificate from the organization