1 year during a period of 3 years prior to the application date. - ( Except having passed the CISA Level 1 3 the Certified Investment and Securities Analyst (CISA) Level 2 or higher, the Chartered
into categories, such as for the purpose of dividend level maintenance, for business expanding or under encumbrance condition. 26.2 Unappropriated means retained earnings and net income of accounting
evaluation by the SEC Office regarding the management of the operational risk and the customer relationship risk not higher than the medium level or in an acceptable level, unless granted an exemption from the
Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course at any level or graduate with a master’s degree or higher during the latest two calendar years prior to the
period except for those of similar activities. 2. Further education 2.1 Certified Investment and Securities Analyst (CISA) or the Chartered Financial Analyst (CFA) course (at least Level 1) during the past
intensity of the procedures mentioned in Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis). Clause 11 . Securities
percent of the total paid-up shares with voting rights of such company; 3. a company holding shares in subsequent levels, beginning with the company under 2., provided that the shareholding in each level
rights of such company; 3. a company holding shares in subsequent levels, beginning with the company under 2., provided that the shareholding in each level exceeds fifty percent of the total paid-up shares
include only (1) any lawsuit that may negatively affect the assets of the Company or a subsidiary at an amount higher than 5 percent of the shareholders' equity at the end of the latest financial year. In
acceptable level on a continued basis by clarifying significant risks. In this regard, the Company may disclose the full version of the policy, operational framework and risk management plan on the Company’s