intermediary shall consider received information as prescribed in Clause 31 in order to provide corresponding services including appropriate information and caution to each type of the client . In case the

ninety days from the date of appointment of the arbitrator. Except where it is deemed necessary and appropriate, the arbitrator, at its own discretion, may extend the period for making a dispute resolution

shall comply with the following rules: (1) shall make consideration of credit rating information selection with responsibility and caution (fiduciary duties) and shall not make credit rating information

important statement, for instance, caution of risks; (2) using statement without being misleading or distortion; (3) not having exploitative terms and conditions, or not being unfair agreement; (4) covering

caution (fiduciary duties) and shall not make credit rating information selection which may cause assets of clients to be in a condition of low liquidity and high risk (cherry picking); (2) shall use the

demonstrating the acknowledgment of the client with respect of the caution about risks arising from such investment or transaction. While the client has not confirmed on the investment or entering into the

that may affect the opinions, shall notify the interest and shall not participate in the considered case. Clause 38 In order to ensure that the exercising discretion of the SEC Office under this Chapter

shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the

to ensure that the exercising discretion of the SEC Office under this Chapter is transparency and due process, prior to notifying suspension or revocation order or period for removing a person from the

. Remark : Preparation of financial prediction in this annual registration statement is voluntary and may be done at any period. In any case, the Company shall do so with discretion to ensure that the