accuracy and completeness until 15.00 hours; and (3) Appointment with the SEC Office for submitting an application must be made at least one day in advance). Business hours: Mondays - Fridays (except public
the auditor without the presence of the management at least once a year. - Review the connecting transactions or transactions that may have conflicts of interest to ensure that they are accurate
securities business operating or derivatives business to intermediaries . Clause 8 Intermediaries shall carry out the following tasks at least once each year: (1) Testing and reviewing of business continuity
financial stability with capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least
capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least include, internal control
guideline shall at least include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well
specified by derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall among
derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall among each departments
of conduct specified by derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective
continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the followings task at least once each year: (1) Testing and reviewing of the business