responsible person under 6.1 Located at the online branch office Not located at the online branch office, being: Officer from the Head Office Branch manager of a full branch office Located at
time, the securities company may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the securities company
mean time, the derivatives brokers may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the derivatives
arrange for the branch office to have a manager appointed by the head office to manage the operation and personnel of the branch office within the permitted scope of services. Clause 10. The online branch
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
performing functions under Clause 4(2) are persons holding the following positions, excluding the person under Clause 10: (1) deputy manager; (2) assistant manager; (3) head of department ; (4) branch manager
associated persons who are counter parties of the Company. 6. General information and other significant information 6.1 General information Specify the following information on the issuer: (1) Name, head
directors and chief executives: specify whether or not the selection of persons to be a director and chief executive is through a nominating committee, the number of directors representing each group of major
approved by the chief executive responsible for the line of work related to capital market of the intermediary . The investment guidelines of the intermediary shall have at least the following details: (1
chief executive of the intermediary ; (3) a complete and updated evidentiary documentation of the operational function outsourced to the service provider shall be maintained in such a ready manner for