approval of private fund custodian; □ 3.2 For approval of private fund custodian and requesting for the permission to commence the business, which the commencement date will be……………………… □ 3.3 For renewal of
approval term, considering the graduation year, in either one of the following fields: (i) Business administration, finance, accounting or economics; (ii) Any field with at least half of the curriculum
proceed completely before the 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
expiration of the approval term can submit their ‘pass’ examination result or their graduation evidence in filing for renewal approval with the Office without having to attend any further training. 3
Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following conditions: (1) before commencement of precious metal
conditions: (1) before commencement of precious metal derivatives brokerage business, the derivatives broker shall have preparedness of management, policies, measures and personnel as prescribed in clause 4(6
________________________________________________________________________ If “No”, please specify the expected commencement of the offer of NRI CIS ________________________________________________________________________ 9) Please provide the investment objective/policy
financial condition, source of income and property used as collateral or for repay debts in derivatives trading. Clause 21. Prior to opening the account or commencement of derivatives trading for customer
claimant does not appear in the first consideration and does not notify the reasons in writing before the commencement of the consideration, the arbitrator may dispose such dispute, or if the arbitrator
the date of commencement of the business, the value of the insurance for the purpose of maintenance of capital shall be limited to fifty percent of the insured amount. Division 2 Calculation of Capital