the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the
shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the shareholder’s equity
Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
years; 1.1.5 Name and location of the head office, type of business, company registration number, telephone number, facsimile number, the Company’s website (if any), the number and type of the total
. Stocks right and warrants means value of right issued by the company to the holder in order to purchase an ordinary share or preferred share, including shares issued for increasing paid-up capital warrant
the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise
: .................................................................................................... Sharing resources with the Head Office 6. In case of establishing an online office: 6.1 Name of the responsible person for online operation:........................................................ 6.2 The
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
associated persons who are counter parties of the Company. 6. General information and other significant information 6.1 General information Specify the following information on the issuer: (1) Name, head