intermediary established in foreign jurisdiction for providing services of information or as liaison office within the scope of this Notification. “auditor” means an auditor approved by the SEC Office under the
services of information or as liaison office within the scope of this Notification. “auditor” means an auditor approved by the SEC Office under the Notification of the Office of the Securities and Exchange
details: 5.1 Operational procedures and resposible persons In order that companies are able to restore its critical operational function within a specified period after operational disruption, companies
restore its critical operational function within a specified period after operational disruption, companies shall determine duties and responsibilities for each operational staffs clearly and arrange a
within Q4/2019 to the mid of 2020. Currently, the branch has already finished setting up with expected opening date between Q2 to Q3 of 2020. In addition to the first overseas outlet, After You has been
securities dealing to submit a report of securities dealing to work unit responsible for post-trade operation within reasonable period of time in order for the securities company to acknowledge and be able to
submit a report of securities dealing to work unit responsible for post-trade operation within reasonable period of time in order for the securities company to acknowledge and be able to report the result
-trade operation within reasonable period of time in order for the securities company to acknowledge and be able to report the result 5 Amended by Notification of the Securities and Exchange Commission No
efficiently use within appropriate time, including having security system sufficient to prevent an access or amendment of such information by non-responsible person. Clause 11. Derivatives broker shall arrange