inapplicable to an appointment of person to hold the positions under Clause 5, Clause 6 or Clause 7 in any of the following cases: (1) the appointment by an intermediary registered to be a derivatives

; (3) investment analyst ; (4)2 agricultural commodity trading management official. Clause 10 This Notification is inapplicable to an appointment of person to hold the positions under Clause 5, Clause 6

and nature of the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The

Interest of Financial Institutions shall hold at least seventy-five percent of the total shares sold; and (2) the Ministry of Finance shall hold at least ten percent of the total shares sold. Clause 2 This

Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5

director or executive’s full name ] Part 2: Characteristics Indicating Untrustworthiness 1st Group Characteristics (1) I am an insolvent person. [ ] Yes [ ] No (2) I am an incompetent or a quasi-incompetent

acquisition of a business, unrelated to the operation of the current business. 3. To repay a loan or debt incurred from an issuance of debt securities. · In case of debt repayment to a group of financial

being fund supervisor are unlimited liabilities partners or limited liabilities partners that hold shares in an aggregate of more than ten percent of the total shares of such limited partnership; (3

acts under the provisions of this Act or other laws. In exercising the power and duty of the Office under the first paragraph, the Office shall have the power to: (1)  own, possess, hold any proprietary

) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more