assets, the securities company shall act as follows: (1) inform its clients and request them to sign upon acknowledgement of the client’s practice in depositing or withdrawing assets with or from the
document of the latest two years must be available for the Office’s request or inspection. Chapter 2 Securities Trading Clause 9. Securities company shall notify its counter trader whether such offering
request or inspection. Chapter 2 Securities Trading Clause 9. Securities company shall notify its counter trader whether such offering price is a firm quotation or an indicative quotation. Clause 10. In
it for at least five years as from the trading date, of which evidence and document of the latest two years must be available for the Office’s request or inspection. Chapter 2 Securities Trading Clause
suitable to the investment objectives, knowledge and understanding of investment, acceptable risks, and other factors of the investor. The management company must request the investor to provide such
investor. The management company must request the investor to provide such information for consideration. The provisions in paragraph one hereof shall not apply to the management of a private fund, of which
investment which is suitable to the investment objectives, knowledge and understanding of investment, acceptable risks, and other factors of the investor. The management company must request the investor to
paragraph, such person shall submit the request form as prescribed in the Office’s electronic work system as well as pay the related fee as per the notification of the Office of the Securities and Exchange
application referred in the second paragraph, such person shall submit the request form as prescribed in the Office’s electronic work system as well as pay the related fee as per the notification of the Office