percent of the general liabilities and collateral (if any): (a) not keeping the client’s assets in its possession; (b) not having investment in or holding securities or derivatives for its 4 investment; (c
business and being unrevealed to public, acknowledged by the intermediary , or its directors, executives or other personnel; (3) receiving or being going to receive reward or other benefit, whether in form
In case personnel in the capital market business have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of
have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of prohibited characteristics in Group 3 under Chapter
regulations regarding possession of prohibited characteristics in Group 3 under Chapter 7. Clause 25 In case personnel in the capital market business are persons registered with the Stock Exchange or the
acknowledged product quality and its attractive lower retailing price as compared to the previous packaging size of a 330 ml. The new energy drink is not only expanding the customer base to younger generations
acknowledged such fact or when those persons thereof have been discharged the position unless having obtained a waiver of period from the SEC Office. Clause 14 In case of online branch office, an intermediary
the date when the intermediary has acknowledged such fact or when those persons thereof have been discharged the position unless having obtained a waiver of period from the SEC Office. Clause 14 In case
from the date when the intermediary has acknowledged such fact or when those persons thereof have been discharged the position unless having obtained a waiver of period from the SEC Office. Clause 14 In