the following acts: (1) establish the procedures for the preparation, monitoring and supervision of reporting to ensure that reporting is complete, accurate and timely; (2) require that reporting must

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

obligations with the intermediary and having been segregated clearly. Chapter 1 Scope of Proceeding _________________ Clause 4 For the purpose of debt repayment in the capital market as a whole and for a client

its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due

purchasing demands when the securities price is lower than the offering price, and if the securities price is higher than the offering price, the amount of securities eligible for trading may increase.” Remark

risk, corruption risk, severe epidemic risk, etc.; 2.2.2 Investment risk imposed on the securities holders. Identify and clarify the risks of losing returns or rights or investment money, in whole or in

well as maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under

advice without taking into account the objectives for investment, financial conditions or specific demands of any particular persons; (b) disseminating general advice to the public in such ways that allow

ensure that the IT asset management meets the following criteria: (1) identify persons or units responsible for each type of IT assets over the whole asset lifecycle; (2) establish the terms for acceptable

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