of the service provider, retrieve for viewing or examine relevant evidentiary documentation; (3) causes, conditions and procedures for terminating the contract or 3 Amended by the Notification of the

the assets in the client’s account is the rightful owner or the person, with written authorization, entrusted by the rightful owner. Clause 19. A securities company shall examine the status of the

company shall examine the status of the client’s account before trading securities for the client. Clause 20. A securities company shall determine methods and procedures of securities trading for the client

in compliance with such rules. (2) consent of the service provider for the SEC Office to inspect its operation, retrieve for viewing or examine relevant evidentiary documentation; (3) causes

in compliance with such rules. (2) consent of the service provider for the SEC Office to inspect its operation, retrieve for viewing or examine relevant evidentiary documentation; (3) causes

in compliance with such rules. (2) consent of the service provider for the SEC Office to inspect its operation, retrieve for viewing or examine relevant evidentiary documentation; (3) causes

19. A securities company shall examine the status of the client’s account before trading securities for the client. Clause 20. A securities company shall determine methods and procedures of securities

rules on borrowing of money for purchasing securities or borrowing of securities for making a short sale; (2) examine under professional standards to ensure that the person requesting to borrow money for

In cases where any person makes a request for a transfer registration to the company, the company shall examine the validity of such transfer. If it is found that such transfer would contravene the

Profession shall provide mechanism to examine persons who are members of such working group to possess appropriate qualification for performing duties in order to make the Institute of Appraisal Profession