submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering innovative financial
dividend payment (if any); (6) method of payment of money or other assets; (7) issuance and delivery of the entitlement documentation of investment units; (8) preparation of the register of investment units
. Our suggestion for prevention of future occurrences is to jointly consider establishing accuracy verification mechanisms that can enhance confidence in the financial reporting, including a
of clients? assets: deficiency of the verification process created risk of damaging client assets. It was found that during August 2014 to March 2015 many clients asked the company to add another
consequently affect confidence in securities business and the capital market at large; (2) Custody of clients? assets: deficiency of the verification process created risk of damaging client assets. It was
evidentiary documentation related to its proprietary trading in accordance with the following rules: (1) the report on the purchase and redemption of investment units under (1) of Paragraph 1 of Chapter 11
Chairman to finalize the relevant details of investment and documentation. 3. The Board of Directors approved the organization restructure for the Company’s precision subsidiaries in consider of long-term
for Submitting Information or Documentation _________________________ Clause 5 The submission of information or documentation to the SEC Office shall be in compliance with the following rules. In this