and [ii] directors unauthorized to affix binding signature. Clause 49 A person having held the position of an independent director, who has already obtained approval [i] before this Notification comes
contact that is authorized to analyze securities investments, and Category B investor contact referring to investor contact that is unauthorized to analyze securities investments; “investment advisory agent
control system; (c) information security system to prevent unauthorized and unrelated persons from accessing or amending information as well as from ascertaining non-public information between the service
security system to prevent unauthorized and unrelated persons from accessing or amending information as well as from ascertaining non-public 4 Amended by the Notification of the Capital Market Supervisory
unauthorized persons from accessing or amending the information relating to its securities business operation. Clause 9.1011 A securities company shall retain evidence regarding securities trading and maintain
maintain sufficient security system to prevent unauthorized persons from accessing or amending the information relating to its securities business operation. Clause 9.1011 A securities company shall retain
; (c) information security system to prevent unauthorized and unrelated persons from accessing or amending information as well as from accessing non-public information between the service provider’s unit
information or concealment of material facts that should have been disclosed, in any documents to the public or the SEC Office, the CMSB or the SEC. Section 312 Section 148 Section 88 Unauthorized undertaking