the company to select a person with knowledge and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the

) O No (4) Was dismissed, discarded or ejected from work because of misconduct: O Yes (please specify) For example, date of being dismissed, discard or ejected from work …… By company/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

the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days from the date of acknowledgement of such misconduct. Clause 13. The securities

shall be deemed that such demeanors are prohibited characteristics in Group 3: (1) having a reasonable ground to believe that there is or was [i] a misconduct against duty or service with reference to

reasonable ground to believe that there is or was [i] a misconduct against duty or service with reference to loyalty and fairness, [ii] lack of responsibility or deliberation, [iii] exploitation of investors

intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association

performance of his duty or misconduct. SECTION 63. 2 The rules of the derivatives exchange shall be enforceable only upon approval of the Capital Market Supervisory Board. In cases where the rules under the

for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association determines the guideline