occurrence. Supplementary information on specific measures already put in place and substantial alleviation of risk impacts may also be included. 4. Research and development Explain research and development
information on specific measures already put in place and substantial alleviation of risk impacts may also be included. 3. Business Sustainability Development 3.1 Policy and objectives of sustainable management
numerical assessment results, if possible), tendency or probability of occurrence. Supplementary information on specific measures already put in place and substantial alleviation of risk impacts may also be
shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
monitoring the implementation of the exercise of voting rights; (4) Disclose the guidelines referred in (1) and the exercise of voting rights referred in (2) to investors by using appropriate methods and in
as securities broker, the securities company shall establish methods and procedures for considering an application for account opening and entering into an agreement with a client in writing . There
together with evidentiary documentation in accordance with the procedures and methods specified in the Licensing Manual for the Public: (1) consisting of at least fifteen securities companies; (2) the group
intent made in writing that he or she does not wish an intermediary to implement methods and procedures complying with the details in this Chapter; (3) investor or client who uses services related to
debtors according to the first paragraph shall be made through registered mail with advice of delivery, or through other methods with evidence of delivery. Clause 8. After all debts has been repaid or the
the SEC Office no less than thirty days before terminating the services or before the expiration date in accordance with the procedures and methods specified in the Licensing Manual for the Public. (2