Exchange Commission Re: Determination of Other Regulations of Associations related to Securities Business ____________________ By virtue of Section 14 and Section 234(7) of the Securities and Exchange Act
applicant has paid for the application fee under the Notification of the Office of the Securities and Exchange Commission concerning determination of fees for filing, registration and other applications. The
Office of the Securities and Exchange Commission concerning determination of fees for filing, registration and other applications. The Office shall notify the result of the application within thirty days
application fee under the Notification of the Office of the Securities and Exchange Commission concerning determination of fees for filing, registration and other applications. The Office shall notify the
life insurance; (c) any other financial institution as prescribed by the SEC Office; (3) “professional code of ethics” means: (a) professional code of ethics established by the Federation of Accounting
, strategy, policy and operational plan in appropriate period or under circumstances shall be established. The determination of such mission, strategy, policy and operational plan shall be harmonized with
, guidelines for reviewing the mission, strategy, policy and operational plan in appropriate period or under circumstances shall be established. The determination of such mission, strategy, policy and
; (5) Having passed the fundamental knowledge examination on the subjects of securities and exchange laws, the relevant rules and regulations and professional ethics and standards, which is administered
; (5) Having passed the fundamental knowledge examination on the subjects of securities and exchange laws, the relevant rules and regulations and professional ethics and standards, which is administered
systems. Meanwhile, an information technology system is necessary for achieving the set goals. Hence, the determination of regulations on supervision of derivatives exchanges, efficient use of information