the action take place. However, in the case where there is a complaint on the advise, trading instruction or negotiation and the case of the complaint has not yet been finished within such period, the
the clients for at least three month from the date which the action take place. However, in the case where there is a complaint on the advise, trading instruction or negotiation and the case of the
company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place
characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic
management arrangement for the organization of information security in accordance with the following criteria: (1) define and document information security roles and responsibilities and establish operating
associated with derivatives trading to the client, as well as procure the client sign the aforesaid document to certify that the derivatives broker has given an explanation on risks which may arise from
sign on the risk disclosure statement to certify that it has given an explanation of the risks associated with derivatives trading to the client, as well as procure the client sign the aforesaid document