, excluding a securities company which is a commercial bank under the law on financial institution business , life insurance company under the law on life insurance and financial institution established under
business ; (b) financial institution established under a specific law; (c) any financial institution other than those specified in sub clauses (a) and (b), which is a financial institution under the law on
well; (9) “ financial institution ” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution business ; (b) financial
“ derivatives broker ” means a person licensed to undertake derivative business in the category of derivatives brokerage, excluding a commercial bank under the law on financial institution business; (2) “ net
a financial institution shall perform such revision and updating within a period of time stipulated by the law on financial institution business ; (b) the information for the purpose of assessing
and exchange; (4) Life insurance company under the law on life insurance business; or (5) Financial institution established under specific law. Clause 4. The person under Clause 3 will be granted the
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
on securities and exchange(SC); □ A life insurance company under the law on life insurance business; □ A financial institution established under specific law according to the Notification of the
of the SEC Office, except that the intermediary which is a financial institution shall perform such revision and updating within a period of time stipulated by the Law on Financial Institution Business
first paragraph is a commercial bank under the law on financial institution business, a life insurance company under the law on life insurance, or a financial institution established under a specific law