Court), respectively. For these 3 cases, the Company did not complain to the inquiry officer but filing the case to the Court and the inquiry process has been completed. Two lawsuits have already been
legal entity; (4) Being able to show that person who is director, manager or person with managerial authority being responsible for the applicant’s undertaking of derivatives business has qualifications
undertaking of such legal entity; (4) Being able to show that person who is director, manager or person with managerial authority being responsible for the applicant’s undertaking of derivatives business has
the action take place. However, in the case where there is a complaint on the advise, trading instruction or negotiation and the case of the complaint has not yet been finished within such period, the
complaint has not yet been finished within such period, the securities company shall retain such record until all the procedures are completed. In the case where the advise, trading instruction or negotiation
20.64 percent are finished products, 18.57 percent are work in progress and 49.64 percent are raw materials. The Corporate Group conducts inventory inspection every month and has employed accounting
. However, in the case where there is a complaint on the advise, trading instruction or negotiation and the case of the complaint has not yet been finished within such period, the securities company shall
compliance finished or in the necessary case for compliance in the long period, it should change password in every three months etc. · In case of non compliance in front of computer’s screen, it shall have a
case of the compliance finished or in the necessary case for compliance in the long period, it should change password in every three months etc. o In case of non compliance in front of computer’s screen