statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of

, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in

action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information

as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a

Notification, to [i] amend or refrain to act or [ii] act any action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6

the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and

) “Industry Association Guidelines” means guidelines concerning risk management to prevent the use of securities business for money laundering and financing of terrorism issued by the Securities Industry

. subordinated liabilities being unsecured which have the remaining maturity period of more than one year as from the calculating date, and have not determined the condition to repay before the maturity date

liabilities; 1. subordinated liabilities being unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the

rules as specified in the notification of the association approved by the Office. In case any derivatives contract of which the calculation on method has not been determined by the association, the