, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of

beneficiaries have the right to obtain an interest specified under the second paragraph of Section 13 or to obtain the remaining property after the trust is terminated under the third paragraph of Section 53

characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic

shall retain office for the remaining duration of the full term of the Chairman or commissioner whom he replaces. ( During the period when no appointment of the Chairman or a commissioner of the SEC has

possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.

benefit of the clients , in which case the clearing and settlement of the assets shall be made to the said person. (3) returning the remaining client’s assets to the client or transferring them to another

-based. If a long-term leasing contract is made, provide a fact sheet of such contract (only regarding the remaining leasing period and the obligations of the Company under such contract (if any). Any

December 2015 with a remaining valid term; (b) derivatives under (a) are not renewed after 16 December 2015. Clause 3 This Notification shall come into force from 6 January 2004. Notified this 23rd day of

paragraph is ineligible to do auditing and put his or her signature in the opinion on the financial statement of a securities company throughout the remaining period approved under the Notification governing

. subordinated liabilities being unsecured which have the remaining maturity period of more than one year as from the calculating date, and have not determined the condition to repay before the maturity date