shareholders names, etc. (if possible) shall be provided to the SEC office. 7 Acquisition through the chain principle means an acquisition of the significant control over a juristic person that is an existing
SEC office. 7 Acquisition through the chain principle means an acquisition of the significant control over a juristic person that is an existing shareholder of the business. The significant control
wishes to be an auditor approved by the SEC Office shall file an application for approval to the SEC Office per Form 61-1F together with documents and evidence as specified on the website of the SEC Office
pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control --------------------------------------- Clause 5. 5 Derivatives broker shall
of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control --------------------------------------- Clause 5.5 Derivatives broker shall
shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are
company. Clause 5 The provisions in Clause 19 shall also apply to securities dealing of a securities company mutatis mutandis. Chapter 1 Operational Control ___________ Clause 6 A securities company shall
witness or expert witness; (4) requesting any person to submit relevant documents in such person’s possession; (5) conducting an on-site inspection. The alleged person shall cooperate with the authority in