) “Department director” means any person who is responsible for the internal operation of a department in the company; (6) “Work experience” means work experience in a financial institution or other organization
an agency supervising such financial institution or the Commission of the Organization for Reformation of Financial Institution System or has been ordered to rectify the damaged financial position by
restoration plan or operation was not approved by an agency supervising such financial institution or the Commission of the Organization for Reformation of Financial Institution System or has been ordered to
organization or a local government organization, the Financial Institutions Development Fund and the Bureau of the Crown Property that has held shares under any of the following conditions: (1) Such person has
Assets of a Securities Company dated 4 January 2000 shall be repealed and replaced by the following texts: “(2) a financial institution whose core businesses are already under supervision and are licensed
” means (a) Any person licensed to undertake derivatives business under the law on derivatives but not including any financial institution under the supervision of other organization and later obtain
Rerson and Qualifications of Applicant _____________ Clause 4 An applicant for the registration as a derivatives business operator must be a juristic person as follows: (1) a commercial bank or a financial
…………................................................................. …………………………….......................................................................... telephone number…………………….. facsimile number ………………………… 2. Details for supplementing the consideration: 2.1 A license granted by the authorized organization or agency under the law (only in the case of a CB
Exchange Commission concerning Maintenance of Capital of Investment Advisors and Derivatives Advisors . “ financial institution ” means: (1) a commercial bank under the Law on Financial Institutions ; (2) a
securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of