: .......................................................................................... 4. Academic degree(s) ( Bachelor's degree in....... (FIELDS OF STUDY)........ from ….(INSTITUTION) ............. (NAME)................ ( Master's degree in .......... (FIELDS OF STUDY)....... from

obtain prior approval in accordance with Clause 19. In cases where the securities company has submitted the contents of an advertisement to the Office, and the Office does not make an objection within five

recommended to study related information before making investment decision”; (3) in advertising long-term equity fund and retirement mutual fund, the securities company shall have a warning statement that

Securities and Exchange Commission governing approval for derivatives investor contacts and standards of conduct. Chapter 1 Application for Approval ______________________ Clause 3. Persons who obtain approval

number of eligible service users; (6) specifying a period of participating in the regulatory sandbox to be no longer than one year as from the approval date; (7) having the study or research results that

, for example, limited types or number of service users; (4) specifying a period of participating in the regulatory sandbox to be no longer than one year as from the approval date; (5) having the study or

, the Client should carefully study and understand each category of contract specifications, including, but not limited to, type of underlying assets and variables, contract size/unit/multiplier, last

manager or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to

intermediaries should study standards and practice guidelines for business continuity management from other related agencies, such as Business Continuity Institute (BCI) or International Organization of Securities

division should prepare the manual for virus prevention in order to be a compliance guideline, including consistently notify and educate the user for a new virus. [M] · Controlling the user disable a virus