to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
date of the complaint received. And if the derivatives broker has not yet finished its solution to the complaint, a progress report shall be delivered to the Office every thirty days until the
(1) (2) and (3) must be in accordance with the guidelines prescribed by the anti-money laundering authorities. Clause 15. Where it is found that a customer, including his ultimate beneficial owner or
complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress
Market Supervisory Board or the SEC Office, nor having corrected the financial status or the operating result as ordered by the said authorities. 4.8 Having not been ordered by the SEC Office to amend the
receive such information. Chapter 4 Authorities and Penalties _______________ Clause 14 In case it appears to the SEC Office that a derivatives dealer has breached or failed to comply with this Notification
compliance finished or in the necessary case for compliance in the long period, it should change password in every three months etc. · In case of non compliance in front of computer’s screen, it shall have a
complaint has not yet been finished within such period, the securities company shall maintain records of such action until all complaint handling procedures are completed. In cases where giving of advice
communication with a foreign regulatory agency, foreign authorities and foreign service providers in order to support in case of the occurrence of emergency incidents causing cross-border impact. In contacting
. However, in the case where there is a complaint on the advise, trading instruction or negotiation and the case of the complaint has not yet been finished within such period, the securities company shall