applying for approval to be the major shareholder of the securities company or in any other report required to be filed with the SEC Office or SEC; (10) has worked in the manner indicating lack of ethic or
regarding unfair securities trading activities. (7) not having the following prohibited behaviors; lack of professional ethics or violation of or non-compliance with the regulations
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
standards and ethics; (4) Having no prohibited characteristics specified such as having actions that indicate a lack of professional ethics or standard of conduct in performing the duties of financial