risks and [ii] analyzing past and present performance so as to forecast future performance; “ technical analysis ” means an analysis by [i] using historical price and trading volume of capital market
related industrial factor, including managerial direction of an entity issuing capital market product and various business risks and [ii] analyzing past and present performance so as to forecast future
twelve months or for the issuer’s present requirements, or, if not, how it proposes to provide the additional working capital needed. 3. If a material deficiency is identified in the issuer’s ability to
for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the clients’ execution of transactions closely. While reviewing and revising
clients’ execution of transactions closely. While reviewing and revising the clients’ information under Paragraph 1(3) is in process, the intermediary shall provide services to the clients with regard to
reporting such review to the intermediary ’s board of directors or a committee appointed by the board of directors; (5) setting out the following execution in case directors, executives or other personnel are
such review to the intermediary’s board of directors or a committee appointed by the board of directors; (5) setting out the following execution in case directors, executives or other personnel are