investment consultant , investment planner or investment analyst in any of the following cases: (1) those persons appointed by an intermediary in the following categories: (a) securities finance; (b) venture
following cases: (1) those persons appointed by an intermediary in the following categories: (a) securities finance; (b) venture capital management; (c) securities borrowing and lending; (d) inter-dealer
direct connection to the undertaking of securities or derivatives business; “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company or
: “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ affiliated
group of companies that identifies the shareholding proportions and the voting rights (if different from the shareholding proportions). In case of a subsidiary formed by a joint venture agreement with
subsidiary formed by a joint venture agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or associates
securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ client ” means a person who uses
a reasonable and necessary ground and that such securities trading is without the intention to seek benefits in the manner of exploiting the clients, or shall be able to demonstrate that there is a
person specified under Clause 3(1), in which case the consideration of the paid-up capital shall be in accordance with Clause 5; (2) having no reasonable ground to believe that its financial condition may
untrustworthiness; and (c) I hereby acknowledge that - 1. The SEC Office will list my name onto the Issuing Company’s Director and Executive Database only if there is no reasonable ground to suspect that I have any