existing clients of whom the securities company has no records in completion by 31 December 2009. Clause 25 All notifications of the SEC Office, orders and circulars issued under or prescribing guidelines
provide information or evidentiary documentation related to the clients’ financial status and debt-repaying ability with respect to all existing clients of whom the securities company has no records in
wishes to expand the scope of online branch office’s existing services, the intermediary shall notify the details of the expansion to the SEC Office at least 5 business days before the date of providing
end of such 30 days. Clause 10 In case an intermediary wishes to expand the scope of online branch office’s existing services, the intermediary shall notify the details of the expansion to the SEC
Manual for the Public. Clause 10 In case an intermediary wishes to expand the scope of online branch office’s existing services, the intermediary shall notify the details of the expansion to the SEC Office
documentation regarding the controlling person in derivative trading of the customer as well as financial condition and debt repayment capability of the customer for every existing customers who Derivatives
arrange information or documentation regarding the controlling person in derivative trading of the customer as well as financial condition and debt repayment capability of the customer for every existing
equal to the amount of the license fee already paid by the applicant for the said derivatives business license. Chapter 3 Return of Existing Derivatives Business License Clause 18 An applicant for