from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and negotiation on securities investment
documentation. In this regard, the SEC Office shall deliberate the application within 30 days as from the date of receiving complete and accurate application and the evidentiary documentation as prescribed in the
shall submit an application for approval to the SEC Office according to the form provided on the website of the SEC Office together with relevant evidentiary documentation. In this regard, the SEC Office
an application to the SEC Office together with evidentiary documentation as specified by the Notification of the SEC Office. In this regard, the applicant would obtain an approval from the SEC Office
case of oversea branch office, the intermediary shall submit an application for obtaining an approval, by using the form as provided on the SEC Office’s website, together with evidentiary documentation
Office’s website, together with evidentiary documentation to the SEC Office. Clause 9 For the deliberation of the application for obtaining an approval of establishing oversea branch office as prescribed in
, any transaction between each investment policy shall be deemed a transaction with a connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9
the purpose of establishing the REIT, or an amended contract for appointment of the REIT manager, if any, in case of issuing additional new units; (3) a registration statement, or documentation