supervision of other organization and later obtain license to undertake securities business; (b) Any juristic person established under foreign laws which is permitted by such laws to undertake securities
do such action by the foreign law of the country where the foreigner inhabits or is located; (2) selecting the foreigner who is under supervision of a regulatory organization [i] which is a member of
Assets of a Securities Company dated 4 January 2000 shall be repealed and replaced by the following texts: “(2) a financial institution whose core businesses are already under supervision and are licensed
…………................................................................. …………………………….......................................................................... telephone number…………………….. facsimile number ………………………… 2. Details for supplementing the consideration: 2.1 A license granted by the authorized organization or agency under the law (only in the case of a CB
Insurance Company/ Finance Institution Established Under Specific Law Particulars For the SEC Officer □ 1. Supporting documents for consideration under Clause 4 (1) : □ (1) Certificate from the organization
: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify
results not lower than Broadly Implemented or equivalent based on the Objectives and Principles of Securities Regulation of the International Organization of Securities Commissions (IOSCO) regarding
industries? 16 Do the firm personnel participate in any professional organization or development? If yes, describe 17 Does the firm personnel serve on professional committees or write professional publications
assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and coordination in case of a foreign company Attachment 2: Details of the
relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for