The SEC Office may prescribe a detailed guideline of the provisions under this Notification to serve as a guideline which is appropriate and consistent with this Notification, and upon compliance with
Products shall be as set out in Chapter 3; (4) Service Personnel shall be as set out in Chapter 4. Clause 6 The SEC Office may prescribe a detailed guideline of the provisions under this Notification to
business days from the day it becomes or oughts to become aware of the failure to maintain the capital; (2) submit the corrective plan or guideline to the SEC Office within ten days from the day it is or
become aware of the failure to maintain the capital; (2) submit the corrective plan or guideline to the SEC Office within ten days from the day it is or ought to be aware of the failure to maintain the
managing potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a
potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a license
borrower in accordance with the rule under Clause 9, and to process and report data on level of risks incurred in securities borrowing and lending to its executives in accordance with its internal guidelines
Clause 9, and to process and report data on level of risks incurred in securities borrowing and lending to its executives in accordance with its internal guidelines on internal control and risk management
internal guidelines on internal control and risk management related to SBL business which has been previously set in writing and approved by the board of directors of the business operator; (2) arrange to