a regular basis. A securities company shall maintain complete evidentiary documentation related to the operation in Paragraph 1 and Paragraph 2 in a manner ready for prompt retrieval or inspection by
trading of the client shall be updated while the debt-repaying ability and the trading limit of each client shall be reviewed on a regular basis. A securities company shall maintain complete evidentiary
change, such as, acquirement of additional business license, merger and acquisition or change of used technology. 8.5 Companies shall keep documents in relation to the test to be complete and up-to-date
relation to the test to be complete and up- to-date, as follows: (1) Plans which have been used in the test; (2) Testing result summary; (3) Plan revision summary. 8.6 Companies should follow up and assess
, accurate and complete in all respects. I also certify further that the said documents neither contain any false or misleading statement in materiality nor omission of any material statement that ought to be
of the application. If the examination on such knowledge has been passed for a period of time exceeding two years on the date of submission of the application, such applicant shall complete such
of time exceeding two years on the date of submission of the application, such applicant (Translation) - 3 - shall complete such knowledge training courses administered by an association or a training
application is received with correct and complete related documents and while the consideration for the renewal under the second paragraph is in process, the Office may order the registered person to revise its
after such application is received with correct and complete related documents and while the consideration for the renewal under the second paragraph is in process, the Office may order the registered