transaction and goods or variable and disseminates aforesaid analysis to its clients, the derivatives dealer shall inform the name and information of such person to the SEC Office within 7 days as from the
system for controlling and preventing the use of inside information between its work units and personnel clearly: (a) the period where the intermediary prepares a report on securities analysis ; (b) within
) within three business days from the date when a report on securities analysis has been disseminated to investors; (c) the period where there are outstanding securities trading orders of clients; (d) the
such client until the outstanding indebtedness of such client is within the specified limit, and the business operator shall not lend additional money for purchasing securities to any client until the
information with the Office in advance so as to ensure that such training course or seminar can be duly counted in the participation hours. The Office will inform the result of consideration within 15 days from
with the Office in advance so as to ensure that such training course or seminar can be duly counted in the participation hours. The Office will inform the result of consideration within 15 days from the
fund after the initial investment, should the total value of all transactions made between the property fund and related persons in the same group within any six-month period exceed a hundred million