providing investment advisory service, the investment advisory company shall at least undertake to act as follows; provided that if it intends to arrange a mutual fund rating, it shall also comply with Clause
ensuring that the services provided to investors would comply with the regulations relating to providing investment consultation and providing services relating to trading investment units, including the
of such juristic person shall also not have the prescribed prohibited characteristics thereof; 5 **(4) having sufficient readiness for providing services and ensuring that the services provided to
the practice guidelines as follows: Clause 1 In case where the intermediaries have provided all operation systems for supporting business continuity under this practice guideline, the SEC shall deem
guidelines as follows: Clause 1 In case where the intermediaries have provided all operation systems for supporting business continuity under this practice guideline, the SEC shall deem that the intermediaries
securities dealing or cease to execute debt securities dealing transactions provided that the securities company had notified to the Office the ceasing of business operation or the ceasing of transaction
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
to the case where securities company cease the business as debt securities dealing or cease to execute debt securities dealing transactions provided that the securities company had notified to the
that the services provided to investors would comply with the regulations relating to providing investment consultation and providing services relating to trading investment units, including the