) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
severe damage or a negative impact on public interest, or when a chance to clarify cannot be given to the alleged offender per se. If the gathered evidence presents a sufficient ground for enforcement, the
period of time that the SEC could refuse to accept the application. Lead appraiser Being full time casual worker or employee of the applicant; Practicing on asset appraisal continuously for not less than 1
Detailed explanation concerning particular risk on the company Chance of risk occurring Effects on the company if the risk occurs Type of operation Important points What kind of business does the company