: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
give the securities company sufficient time for preparing or taking any action to allocate fund or solve an issue of maintaining the financial position possibly arising from operational risk. Clause 4 A
board to be in charge of the implementation of the business continuity management policy. In case of any material amendment, change or modification to the business continuity plan, the securities company
private fund management company, the ratio of the shareholders’ equity presented in the latest audited financial statement is not less than that specified in the Notification of the Securities and Exchange
past three years and the latest quarter or such shorter period that the company has been in operation: Specify the information in the consolidated financial statements, with only key figures and
issuance of the latest financial statement, such increasing or reducing shall be calculated in the shareholder’s equity of the securities company. (3) demonstrate a plan for the business operation in foreign
to financial information; - In the case where the Company has disclosed a business plan or a financial prediction in the registration statement or the annual registration statement/annual report
objectives in relation to financial information; - If the Company has disclosed a business plan or a financial prediction in the registration statement or the annual registration statement, clarify the results
loan interests of financial institutions . Clause 3 This Notification shall be applicable to the appointment of a representative of a management company in the following cases: (1) the appointment of an
this regard, in case the management company has assigned the juristic person to provide consultation or make a plan relating to investment units [to investors], such person shall have its personnel to