indicating cheat or dishonest, irresponsibility, reckless in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its

in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; In case where shareholder under the first paragraph is a legal entity, its director or

respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its operational system will be prompt for operating securities business in

proceedings instituted by the authorities in accordance with law on protection and suppression of money laundering; (4) was convicted by the court’s final judgment on the offences relating to property committed

is prepared by Legal Department with the sole purpose of  facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or

sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect in substitution for or

​ ________________________________    This English version is prepared by Legal Department with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event

with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect in substitution

fee afterwards." This English version is prepared by Legal Department with the sole purpose of facilitating the comprehension of foreign participants in rules and regulations promulgated under the

  --------------------------------------------------------------------   This English version is prepared by Legal Department with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be