in the notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures
in this Notification which an intermediary has legally done before this Notification comes into force shall be deemed that the outsourced function thereof is lawful action under this Notification. In
into force shall be deemed that the outsourced function thereof is lawful action under this Notification. In case the outsourcing policy or contract fails to be conforming to the regulations under this
is a lawful action under this Notification. The intermediary under Paragraph 1 shall comply with this Notification or the rules prescribed by the SEC Office by virtue of this Notification. In case the
of having negotiation. In case where the consideration of the compliant about the securities investment advice or securities investment negotiation is not finish within specified period of time, the
day of giving an advice or as from the day of having negotiation. In case where the consideration of the compliant about the securities investment advice or securities investment negotiation is not
from the day of having negotiation. In case where the consideration of the compliant about the securities investment advice or securities investment negotiation is not finish within specified period of