date in the form which can be promptly retrieved and inspected by the Office. Chapter 2 The operation Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as
derivatives dealer has outsourced other persons to undertake the function of contacting, soliciting or giving advice relating to derivatives transaction or analyzing the value or advisability of the derivatives
requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of investment, debt repayment and pledging collateral, and
securities analysis ” means an article or research paper which is prepared by a securities company to give advice to investors, directly or indirectly, on the value of securities, the suitability of investment
analysis” means an article or research paper which is prepared by a securities company to give advice to investors, directly or indirectly, on the value of securities, the suitability of investment related
supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or products in the