prices as well as financial status, ability to deposit of margins and debt repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC
repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC Office; (3) calculate the market prices of derivatives held by a client including
include experience, for example, education, employment record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international
asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from
details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from client’s assets; □ (3.6) System to
such legal entity to relevant personnel to cooperate with the SEC Office; (h) records on administrative sanction of the wrongdoer which, in case where the wrongdoer is a legal entity, shall include
maintain internal records that are accurate and sufficiently detailed and comprehensive to reconstruct the credit rating process for a given credit rating action. The records should be retained for as long
market. In addition, there were records of the doubtful debt of the long trade receivables, the employee expenses such as bonus and the provision for penalty on project delay. Therefore, comparing the
shareholder’s equity of the securities company. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge by law, and has no records on offences relating to unfair securities