) “ analysis of securities investment ” means an analysis of data relating to securities , for the purpose of giving advice or publishing , whether directly or indirectly, on the value of securities or
systems for data center such as CCTV, fire alarm systems, fire extinguisher or automatic fire suppressing system, uninterrupted power supply, temperature and humidity control systems as well as maintain
selling of any securities ; (10) “ analysis of securities investment ” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the
act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval
internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office has the power to waive the appointment of independent director temporary or permanently
acceptance of redemption of investment units or customer solicitation; (4) handling investor complaints relating to the performance of duties in sale or acceptance of redemption of investment units or customer
complaint handling system in relation to securities business undertaken by the securities company, its employee or its agent; (2) receive a complaint in (1) from a customer and complaint from a customer
procedure of such systems in written with an approval of Board or Executive Board of securities company. Clause 5. Securities company shall prescribe a measure protecting internal data access between
efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company
handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related personnel of the policies and the practices as well as a procedure for continuous