denominated in foreign currency prior to the date on which this Notification 9 comes into force may continue to perform their duty provided that the intermediary shall arrange for such personnel to attend a
shareholders and opinion of the Independent Financial Advisor (“IFA”), at least 14 days prior to the shareholder’s meeting that is going to be held on April 30, 2020, to be approved. At the company’s board has a
provided in Clause 10 and Clause 11, an intermediary who wishes to outsource operational function under Clause 8(1) to (9) and (11) to a service provider shall obtain an approval from the SEC Office prior to
intermediary who wishes to outsource operational function under Clause 8(1) to (9) and (11) to a service provider shall obtain an approval from the SEC Office prior to such outsourcing, and the intermediary
securities for the client prior to trading for itself, unless the order of the client clearly specifies the condition of trading otherwise. Clause 21. A securities company shall clearly determine the method
itself, in particular, it shall trade in securities for the client prior to trading for itself, unless the order of the client clearly specifies the condition of trading otherwise. Clause 21. A securities
over the benefit of itself, in particular, it shall trade in securities for the client prior to trading for itself, unless the order of the client clearly specifies the condition of trading otherwise
Information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s information for the following purposes prior to providing services: (1) knowing the client ; (2
Information _____________________________ Clause 30 An intermediary shall compile and assess a client’s information for the following purposes prior to providing services: (1) knowing the client; (2