necessary and appropriate; (b) the dispute between a natural person who agrees, receives or uses services, or enters into a contract with the respondent relating to securities or securities business, or the
following conditions in the agreement with a client for providing services as derivatives agent: (1) the client agrees to notify and provide the following information, and clarify on such information in
. Clause 18 At the time the derivatives broker agrees to provide the service to the client, the derivatives broker shall put in place a written agreement which provides that upon the client’s request for
include the following conditions in the agreement with a client for providing services as derivatives agent: (1) the client agrees to notify and provide the following information, and clarify such
. Additionally, the firm consents to audit quality inspection carrying out by inspectors of the SEC Office; 2. I certify that if an auditor of the audit firm has been registered with the SEC Office, the audit firm
International Standard on Quality Control 1 (ISQC1) issued by the International Federation of Accountants (IFAC). Additionally, the firm consents audit quality inspection carrying out by inspectors of the SEC. 2
meet the period specified in the second paragraph, and the Office does not notify the result of consideration, or does not order to the securities company, it shall be deem that the Office approves the
Online Branch Office --------------------------- Clause 4. It shall be deemed that the Office approves the establishment of the full-service branch office and online branch office, provided that on date
Branch Office --------------------------- Clause 4. It shall be deemed that the Office approves the establishment of the full-service branch office and online branch office, provided that on date the
within thirty days from the date when the Minister or the Securities and Exchange Commission approves the termination of business or revocation of license, as the case may be. Clause 15 Licensees shall