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

discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the

qualification under (3) or (5), the securities company may be granted an approval from the Office only when the securities company cause the relevant executive or personnel who rendered the company into such

under (3) or (5), the derivatives broker may be granted an approval from the Office only when the derivatives broker cause the relevant executive or personnel who rendered the company into such

years; 1.1.5 Name and location of the head office, type of business, company registration number, telephone number, facsimile number, the Company’s website (if any), the number and type of the total

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

Attachment 3 Details of the head of internal control and compliance supervisor Attachment 4 Details of the asset appraisal Part 1 1 Executive Summary Summary of the Initial Public Offering Public Limited

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

securities, the terms “ warrant ” “ execise of rights under warrants ” “ institutional investors ” “ registration statement ” “ parent company ” “ subsidiary company ” “ executive ” “ major shareholder ” and

management Ο private fund management Ο other, (please specify)…………….. 1.2. Name of applicant ………………………………………………………………… 1.3 Address of head office