trading of the client shall be updated while the debt-repaying ability and the trading limit of each client shall be reviewed on a regular basis. A securities company shall maintain complete evidentiary
change, such as, acquirement of additional business license, merger and acquisition or change of used technology. 8.5 Companies shall keep documents in relation to the test to be complete and up-to-date
relation to the test to be complete and up- to-date, as follows: (1) Plans which have been used in the test; (2) Testing result summary; (3) Plan revision summary. 8.6 Companies should follow up and assess
, accurate and complete in all respects. I also certify further that the said documents neither contain any false or misleading statement in materiality nor omission of any material statement that ought to be
of the application. If the examination on such knowledge has been passed for a period of time exceeding two years on the date of submission of the application, such applicant shall complete such
of time exceeding two years on the date of submission of the application, such applicant (Translation) - 3 - shall complete such knowledge training courses administered by an association or a training
client. Clause 13. A securities company shall keep accurate and up-to-date record of the client’s asset account. In case of amendment of the record, the securities company shall complete the amendment
securities company shall keep accurate and up-to-date record of the client’s asset account. In case of amendment of the record, the securities company shall complete the amendment within the same working day
as from the date of submission of complete and accurate application, other documents and evidence. In considering the application, the Office may summon the applicant to give statements or submit