initiating after the market closing time shall be deemed as it is initiating in the next business day. Clause 3 A derivatives broker shall at least include the following information in the confirmation
underwriting of investment units by way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any media or objects. This does not include the
media or objects. This does not include the information which is given in the prospectus or which is aimed to be educational or to provide facts without the intention to promote sales of investment units
abroad include the followings: 3.1 Information on the plan and scope of business operation, including the plan for seeking an approval from the relevant foreign regulator; 3.2 Information on the work
specified by derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall among
include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for
matters should include a comprehensive flowchart of the overall business structure of the majority shareholder. Also required is information on the rationale and opportunity or necessity for mutual reliance
required such as a compulsory performance lawsuit in cases where the issuer is a financial institution. The disclosure of the description above shall include the information on the court trying the case, the
. The disclosure shall include at least the proportion contributing more than 10 percent of the total income in the profit and loss statement of the latest financial year. Such income information shall be
information which include the following information: (a) financial status; (b) experience on investment or entering into any transaction; (c) knowledge relating to investment or entering into any transaction