provider upon request. Clause 19/15 Clause 18(7) and 19 shall not apply to the following cases: (1) Intermediary that outsource its function to support system provider specifically the function that is
which is beneficial for controlling employee of securities trading, and such other information under possession of the securities company, upon receiving a request by the other securities companies within
receiving a request by the other securities companies within a reasonable period; (3) informing the client and the person who has power to instruct the orders for securities trading for the client’s account
retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory
wishes to request for exemption from the Securities and Exchange Commission, as follows: Name Prohibited characteristics requested for exemption
, the company wishes to request for exemption from the Securities and Exchange Commission, as follows: Name Prohibited characteristics requested for exemption
upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities company shall segregate assets under its custody as assets of clients in not less than the following amount: (1) Money: the
and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities