for customers with unusual transaction patterns, such as delaying withdrawals, reducing trading limits, or refusing to provide services; (5) Impose withdrawal delay measures for customers who do not
5 3 For communication with and providing services to clients, an intermediary shall provide or offer services suitable to each client carefully, especially with special care to one of the following
53 For communication with and providing services to clients, an intermediary shall provide or offer services suitable to each client carefully, especially with special care to one of the following
payment out of its own pocket in the amount equivalent to the difference representing the deficiency, as the case may be, to provide a price compensation to the open-end fund, except where the incorrect
investment units and make payment out of its own pocket in the amount equivalent to the difference representing the deficiency, as the case may be, to provide a price compensation to the open-end fund, except
disclosed information in a transparent and fair practice. This reflects the confidence from government agencies to provide accurate, up-to-date, and sufficient information to investors fairly. December 2019
execution. Clause 8. Securities company shall provide evidence and document about securities trade completely and up date, and keep it for at least five years as from the trading date, of which evidence and
transactions provided that the securities company had notified to the Office the ceasing of business operation or the ceasing of transaction execution. Clause 8.9 Securities company shall provide evidence and