) -5- Clause 16. A securities company shall keep the information and documents related to the custody of client’s assets at least two years for the Office’s verification and examination. CHAPTER III
submission of the application. (b) Possessing qualifications and work experiences as follows: 1. Having passed the level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and
standards within two years prior to the date of submission of the application. (b) Possessing qualifications and work experiences as follows: 1. Having passed the level 1 examination of Chartered Financial
for more clarity in practice and for the SEC Office’s examination of such matters. Clause 31 In cases where the SEC Office finds that a securities company violates or fails to comply with this
in detail relating to the matters prescribed in this Notification for more clarity in practice and for the SEC Office’s examination of such matters. Clause 31 In cases where the SEC Office finds that a
personnel’s and medical supplies to cope with COVID-19 infected patients including examination room, cohort ward, isolation ward, and negative pressure room which are separated from the patients who come to
for a resolution or the written notice of the meeting, whichever the case may be. In case of the execution of a transaction under the second paragraph of Clause 15/3, the examination and certification
effect to the expanding of the export sector. For the banking sector, in the third quarter of 2017, the overall of commercial bank lending increased from the previous quarter. The main focus is on the