from those of other assets, and that (2) there have been reports about a number of foreign DA operators experiencing liquidity problems and asset-keeping risks in this regard. The SEC, in the past

SEC has a plan to revise the relevant notification to allow investment consultants of  operators of securities and the derivative contract business, who have expertise in investment and keeping

other individuals through clients? accounts and non-compliance with conducts of securities company in relation to record keeping of investment advice and trading orders in violation of Clause 14(2) and 14

keeping of investment advice and trading orders, as the evidence indicated that she had regularly made contact with the client through tape recording system and was able to take client's orders through such

standards, together with the preventative measures. (5) Documentary preparation and record keeping which comprises of the following: (a) the preparation of written document or evidence for the acts of the

professional standards, together with the preventative measures. (5) Documentary preparation and record keeping which comprises of the following: (a) the preparation of written document or evidence for the acts

breaches of the laws, code of ethics and professional standards, together with the preventative measures. (5) Documentary preparation and record keeping which comprises of the following: (a) the preparation

) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of

prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market

maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market conduct; (6) competent staff