Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the

purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of

the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise

person who is assigned by the board of directors to be the highest level responsible person in the management of a company. “ head of department ” means a person responsible for the work in the

to be the highest level responsible person in the management of a company; “ head of department ” means a person responsible for the work in the departmental level of a company; “ branch manager

channel of any government bond or bond guaranteed for principal and interest by the Ministry of Finance and redempted by holders with specific or minimum price determined as of the issuing date does not

assigned investment grade credit rating according to Paragraph 2 of clause 7/2, or the Government, or the Ministry of Finance has guaranteed the principal and interest in full amount; (b) in case of deposits

guaranteed for principal and interest by the Ministry of Finance and redeemed by holders with specific or minimum price determined as of the issuing date does not provide personnel approved by the SEC Office

; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices

; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices