storage. Clause 20 In trading securities with a retail client, a securities company shall prepare evidentiary documentation to show that such securities trading is executed after the client has received
beneficial owners or ultimate controlling persons; (11) the client refuses to show the true identity, does not cooperate in producing identification or other documents under the KYC/CDD process, or produces
of third parties, who are not ultimate beneficial owners or ultimate controlling persons; (11) the client refuses to show the true identity, does not cooperate in producing identification or other
transfers of assets in large amount from or to accounts of third parties, who are not ultimate beneficial owners or ultimate controlling persons; (11) the client refuses to show the true identity, does not
) shall together select another arbitrator to be the chairman of the arbitrator panel. If the respondent refuses to have three arbitrators or the respondent does not show his intention whether or not to
arbitrator panel. If the respondent refuses to have three arbitrators or the respondent does not show his intention whether or not to have three arbitrators within the specified period of time, it shall be
other persons in a manner which is similar to or which is in competition with the operation of the management company except where the management company can show that its organizational structure does
suitable to the business at that time by presenting that transactions in financial statements exist, complete, correctly show the rights or obligations of the company, have the right value as well as
rule to make the parties listed in concern specify for the company who made the parties listed must be setting the financial assistance to show the comment to shareholder in the case that have to