securities holders directly, not general risks on business undertaking or investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display
investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of
of the associated persons and that of the shareholders under the same controlling person is considered the shareholding of the same group: (a) Top 10 highest shareholders; (b) Major shareholders whose
Securities and Exchange Commission hereby issues the following regulations: Clause 1 The management of funds of juristic entities under the same business group shall not be regarded as the undertaking of
comply with this Notification under the same standard. In this regard, the SEC Office may impose the detail for consistence with the category of any intermediary or capital market products ; (2) issuing
foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis ; “retail client” means a client other than an institutional client; “inside information” means the
Consideration of the application for opening of the derivatives trading account shall be prepared in written with steps and procedures sufficient to ensure that the customer is the same person as the one
client is the same person as the one appearing in the documentation in support of the application, and verify the identification of the client, the beneficial owner, and the person controlling the
(Form 61-2) (The same form as submitted to the SEC Office for approval request, which contains current information, is acceptable). For your kind consideration. Yours sincerely, Signature
under the scope of this Notification in order that any intermediary would comply with this Notification under the same standard. In this regard, the SEC Office may impose the detail for consistence with