than two years from the date of preparing such document evidences: (1) information of a customer using for supplementing the giving advice; (2) an evidence showing the delivery of document acknowledging
guidelines. The rules or practice guidelines under Paragraph 1 shall at least include the following matters: (1) receipt or delivery of clients’ assets ; (2) keeping of records of clients’ assets ; (3
practice guidelines under Paragraph 1 shall at least include the following matters: (1) receipt or delivery of clients’ assets; (2) keeping of records of clients’ assets; (3) management of information
retail trust; 2. supported by documents evidencing the ownership or rights or has agreements that are complete, clear and enforceable by law and sufficient for the trust to operate upon; 3. if the
sale of securities is allowed only when the offeror has already filed the registration statement and draft of prospectus to the SEC Office and the cooling-off period of such documents has elapsed. Clause
obligations thereunder. Unless a party is able to offset its position before the settlement date, the seller of futures is obliged to make and the buyer is obliged to take delivery of the underlying asset of
by means of exchanging in-kind for delivery; (3) being short selling of ETF units by means of purchasing such securities from foreign exchange for delivery; Short selling under sub clause (2) or (3) of
for delivering; (2) being short selling by means of exchanging in-kind for delivery; (3) being short selling of ETF units by means of purchasing such securities from foreign exchange for delivery; Short
Market Supervisory Board in relation to short selling of securities by means of borrowing securities for delivering; (2) being short selling by means of exchanging in-kind for delivery; (3) being short