, including any persons who hold the positions with the same authority and responsibilities as such persons of the business; (8) “Electronic data” means any message which has been created, dispatched, received
facsimile transmission, electronic mail or any other means according to the recipient’s intention. In this regard, record of notification shall be made and written notification shall be sent to the recipient
under Paragraph 1 to the SEC Office in accordance with the following formats: (1) filing one set of the documents in paper format; (2) transmitting one set of electronic data via the data transmission
Notification: (1) “underlying share,” “listed company,” “subsidiary company,” “institutional investor,” “registration statement,” and “electronic data” shall have the same meaning as defined in the Notification
office; or (3) oversea representative office. “online branch office” means a branch office of an intermediary of which services are provided solely through computers or electronic devices linked to
provided solely through computers or electronic devices linked to computer or electronic system of head office or another branch office. “oversea representative office” means a branch office of an
) oversea branch office; or (3) oversea representative office. “online branch office” means a branch office of an intermediary of which services are provided solely through computers or electronic devices
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary