as of 25 July 2006) (Synopsis) 10. Report/Form (Notification of Securities and Exchange Commission) Form 104-2/OrPor 24-2 Certified Statement Form on Profile of the Applicant to be an Executive of
. Seminars and conferences are other common ways to work together and share know-how. Having external individuals as representatives on sub-committees that review or formulate new regula- tions was another
of Securities and Exchange Commission) 16/11/2008 19. Report/Form (Notification of Securities and Exchange Commission) Form 104-7 Certified Letter of Executive Profile of the Securities Company (as
-Dealer Broker 18. Report/Form (Notification of Securities and Exchange Commission) Form 104-2/OrPor 24-2 Certified Statement Form for an Approval of Appointment of Person as an Executive of the
Executive of Derivatives Business Operator (as of 1 November 2005) 11. Report/Form (Notification of Securities and Exchange Commission) Form OrPor 24-2 Certified Statement Form for an Approval of
Certified Statement Form for an Approval of Appointment of Person as the Executive of Derivatives Business Operator (as of 1 November 2005) 12. Report/Form (Notification of Securities and Exchange
our promotion of overseas investments, strengthened enforcement on insider trading, share manipulation, executive misconducts, accounting frauds, false documentation of securities issuance and offering
for Registeration of Person Qualified to be a Mutual Fund Supervisors 8. Report/Form (Notification of Securities and Exchange Commission) Certified Statement Form Relating to Acting in Compliance with
) Documents for the Application for a License to Undertake Securities Business in the Category of Mutual Fund Management Report/Form (Notification of Securities and Exchange Commission) Certified Statement
Commission) Certified Statement Form Relating to Acting in Compliance with Related Laws of Applicant for Custodian of Private Funds 9. Report/Form (Notification of Securities and Exchange Commission) Form