) arrange for retaining information, documents and relevant evidences relating to its business completely and currently and in the manner of prompt for being examined by the SEC Office. (4) report to the SEC
examined by the SEC Office. (4) report to the SEC Office immediately in case an oversea branch office was sanctioned or given an order to act or omit to act, by foreign capital market regulator or foreign
System of the SEC Office; (2) disclose the information on such transaction on the website of the mutual fund management company on a monthly basis, as well as disclose such information in the report of the
companies, companies shall inform the SEC shortly, not exceeding the next business day, together with a detailed report of incidents happened, operational procedures and a period of time used or expected to
affecting customers of companies, companies shall inform the SEC shortly, not exceeding the next business day, together with a detailed report of incidents happened, operational procedures and a period of
debt securities; and b. where any of the above tangible assets are in the form of real property, provide information on report of valuation of interest of the issuer and each of its guarantors in each
-date information in order to verify the client’s assets information reports between the custodian and the securities company. Clause 15. A securities company shall deliver a report of the client’s assets
verify the client’s assets information reports between the custodian and the securities company. Clause 15.3 A securities company shall deliver a report of the client’s assets at the end of each month to