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
, 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
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
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 within the same working day