the rules as prescribed in this Notification, the SEC Office may order such management company to rectify, operate or omit from any acts in order to comply with the rules as prescribed in this
securities industry by putting in place measures to prevent the industry from being used as a channel to launder money and finance terrorist acts, and to ensure that securities companies are fully committed to
finance terrorist acts, and to ensure that securities companies are fully committed to international standards. Record Keeping and Retention of Records
measures to prevent the industry from being used as a channel to launder money and finance terrorist acts, and to ensure that securities companies are fully committed to international standards.
Notification or the rules prescribed by the securities company for compliance with this Notification or acts inappropriately in undertaking securities brokerage or securities dealing, the SEC Office may order
securities company violates or fails to comply with this Notification or the rules prescribed by the securities company for compliance with this Notification or acts inappropriately in undertaking securities
, who provides advice to clients by a foreign derivatives business operator , shall undertake the following acts: (1) consider and select a foreign derivatives business operator who is reliable and
Clause 136 Repealed. Clause 13/17 The derivatives broker, who provides advice to clients by a foreign derivatives business operator, shall undertake the following acts: (1) consider and select a foreign