preparing and filing the reports under this Notification: (1) Any securities company, which ceases its securities business in all categories or which is suspended from its securities business in all
and filing the reports under this Notification: (1) Any securities company, which ceases its securities business in all categories or which is suspended from its securities business in all categories by
operator, which ceases its business in all categories by regulation or order, and when the SEC Office has received notice in writing from the business operator or when the order has come into force, shall be
ceases all businesses. Clause 3 An intermediary who has been rendered a waiver of appointing an independent director under the Notification of the Office of the Securities and Exchange Commission
date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An intermediary who has been
) not bearing responsibility for the clearing and settlement for securities and derivatives. Where the securities company which also operates as the derivatives broker under Paragraph 1(2) ceases to
transaction, NU will ceases to be a subsidiary of the Company. Shareholding Ratio in NU before and after the transaction Name of Shareholders Before transaction After Transaction Amount of Shares Percentage
with the Notification of the SEC Office. 3 Clause 5 The derivatives broker which ceases the operation of the derivatives business in the category of derivatives brokerage and has given a written notice