cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is inaccurate or inexact, such information shall be revised and
the disclosure should take into account on certainly and completeness on information of such transaction. In case of cancellation or change on the key terms, this shall affect to the Company, relevant
keeps records of lending of money to a client for purchasing securities and lending of securities to a client for making a short sale; 4“initial margin rate” means a minimum rate of money to be paid or
transactions, indicating names, positions, academic records, working experiences and training courses in the related programmes (if any) such as CISA, CFA etc.; (d) as regard the credit risk management, there
derivatives transactions, indicating names, positions, academic records, working experiences and training courses in the related programmes (if any) such as CISA, CFA etc.; (d) as regard the credit risk
prices as well as financial status, ability to deposit of margins and debt repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC
repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC Office; (3) calculate the market prices of derivatives held by a client including
) the past records of similar cases, such as being a first-time act or repetitious or continued act; (7) the intention of the person committing the act, whether it is intentional or due to gross
in the environmental and social areas, which include respect for human rights and good corporate governance. For example, climate change risk, biohygienic and safety risk, disputes with the community