trading or investing in capital market product , without planning or analyzing of investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment

categorized by business units, the income structure of the latest year may be displayed instead. (For example, Business A and Business B generate 65 percent and 35 percent of the total income respectively. Such

manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the

academic expert or professional in accounting, finance, business administration, economics or law; (7) “Office” means the Office of the Securities and Exchange Commission. Clause 3 . An executive of any

expert to give opinions on the dispute. An expert shall be independent and have no personal interest with any party which may cause biased and unfair opinions. The arbitrator shall determine the expert’s

of derivatives shall be categorized according to their level of risk. The derivatives dealer shall also consider the purpose of investment and determine the appropriate quantity of derivatives

person, categorized by underwriters, and submit it to the SEC Office together with reports on securities sales results. The name list of the largest allocated persons under the first paragraph shall

securities to each person, categorized by underwriters, and submit it to the Office together with reports on securities sales results. The name list of the largest allocated persons under the first paragraph

decision to invest, the investor should study in detail before making investment decision; (4) providing knowledgeable and expert personnel to explain the information on mutual fund rating upon enquired; (5

of the securities company and shall be categorized into a margin account or a cash account, as the case may be. The client’s asset account under the first paragraph shall at least contain the following