the action take place. However, in the case where there is a complaint on the advise, trading instruction or negotiation and the case of the complaint has not yet been finished within such period, the
the clients for at least three month from the date which the action take place. However, in the case where there is a complaint on the advise, trading instruction or negotiation and the case of the
company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place
) measures on the use of cloud computing under the policy established in Clause 8(1) which covers: (a) an agreement between the cloud provider and the intermediary which contains at least the following matter
Derivatives Brokerage ________________ Clause 17 In providing the derivatives brokerage service, the derivatives broker shall enter into a written agreement with the client who has assigned the derivatives
shall enter into a written agreement with the client who has assigned the derivatives broker to act as the client’s agent in derivatives trading, provided that the written agreement the derivatives broker
Transaction will occur upon the satisfaction of the conditions precedent as specified in the Entire Business Transfer Agreement, entering into between the Company and SUTGH (“Entire Business Transfer Agreement