Manual for the Public. Clause 10 In case an intermediary wishes to expand the scope of online branch office’s existing services, the intermediary shall notify the details of the expansion to the SEC Office
documentation regarding the controlling person in derivative trading of the customer as well as financial condition and debt repayment capability of the customer for every existing customers who Derivatives
arrange information or documentation regarding the controlling person in derivative trading of the customer as well as financial condition and debt repayment capability of the customer for every existing
equal to the amount of the license fee already paid by the applicant for the said derivatives business license. Chapter 3 Return of Existing Derivatives Business License Clause 18 An applicant for
equal to the amount of the license fee already paid by the applicant for the said derivatives business license. 9 Chapter 3 Return of Existing Derivatives Business License Clause 18 An applicant for
’ financial status and debt repayment ability, with respect to all existing clients of whom the securities company has no records, by 31 December 2009. Clause 33 All notifications of the SEC Office, orders and
any data or documentary evidence relating to its clients’ financial status and debt repayment ability, with respect to all existing clients of whom the securities company has no records, by 31 December