nesses in the oup. mentioned d ll complete s vant approval general publi n accordance hen transfer th ess of any cir eeting in adva ovide opinio o analyze an subsidiaries d Road, Km , 32 square
thereupon to an intermediary within 30 days as from the date when the SEC Office received the complete and accurate application together with the evidentiary documentation in accordance with the Licensing
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
client. Clause 13. A securities company shall keep accurate and up-to-date record of the client’s asset account. In case of amendment of the record, the securities company shall complete the amendment