make securities trading decisions on behalf of the clients on a continual basis, for a high volume of trading transactions. In addition, the communications records indicated that she had taken trading

indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries.  The acts of {A} and {B

indicated; 3. the market price used for comparing with the offering price and the exercise price of warrants, including calculation methods; 4. in cases where the offering price is specified, prospective

year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk

assessment once a year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice

maturity date shall be clearly indicated; (2) the interest rate is fixed or floating rate according to the interest rates of the financial institution or at a particular interest rate; (3) the total

on November 16, 2017 that notified the Company to clarify the appropriateness of the assumptions used in the fair value measurement of investments, therefore, the Company appointed another independent

indicated in the documents published for dissemination of mutual fund rating information, containing essential statement that the information on mutual fund rating should be used only for supplementing the

private fund management company [unless indicated otherwise], including: (a) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of any

fund management company [unless indicated otherwise], including: (a) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of any securities