following regulations: (1) examine the account status of a client before trading securities for the client; (2) specify the method and procedure for trading securities for clients on the first-come-first

) examine the account status of a client before trading securities for the client; (2) specify the method and procedure for trading securities for clients on the first-come-first-served basis and take into

) examine the account status of a client before trading securities for the client; (2) specify the method and procedure for trading securities for clients on the first-come-first-served basis and take into

service provider, retrieve for viewing or examine relevant evidentiary documentation; (3) causes, conditions and procedures for terminating the contract or suspending performance [under such contract]; (4

of the service provider, retrieve for viewing or examine relevant evidentiary documentation; (3) causes, conditions and procedures for terminating the contract or 3 Amended by the Notification of the

of the service provider, retrieve for viewing or examine relevant evidentiary documentation; (3) causes, conditions and procedures for terminating the contract or 3 Amended by the Notification of the

in compliance with such rules. (2) consent of the service provider for the SEC Office to inspect its operation, retrieve for viewing or examine relevant evidentiary documentation; (3) causes

in compliance with such rules. (2) consent of the service provider for the SEC Office to inspect its operation, retrieve for viewing or examine relevant evidentiary documentation; (3) causes

in compliance with such rules. (2) consent of the service provider for the SEC Office to inspect its operation, retrieve for viewing or examine relevant evidentiary documentation; (3) causes

; “ investment analyst ”9 means a person giving investment consultation to investors and eligible to analyze investment related to the value or appropriateness for trading or investing in capital market products