units of any scheme, should any of the following events occur, the Office’s approval for the establishment and management of the mutual fund shall cease accordingly, unless there is an appropriate reason
following events occur, the Office’s approval for the establishment and management of the mutual fund shall cease accordingly, unless there is an appropriate reason and a waiver is granted by the Office: (1
under Clause 14(3); The process under (2) must enable the securities company to monitor and review the client’s records soon after the circumstances in (a) and (b) occur, and within timeframe specified by
circumstances in (a) and (b) occur, and within timeframe specified by the securities company for the circumstance in (c). The securities company shall record and maintain all information obtained under the on
the circumstances in (a) and (b) occur, and within timeframe specified by the securities company for the circumstance in (c). The securities company shall record and maintain all information obtained
prevention of damage caused by risks arising from business undertaking to assure that there will not be any adverse effect on business undertaking of the securities company . All types of risks which may occur
company. All types of risks which may occur during the course of business undertaking shall be taken into account in making risk appraisal; (3) measures for prevention of inside information leaking between
company. All types of risks which may occur during the course of business undertaking shall be taken into account in making risk appraisal; (3) measures for prevention of inside information leaking between
acquisition, it has constituted some problems regarding the business operation such as related party transaction and redundant costs. The redundant costs occur when SQL has not enough inventories to deliver to
majority of fixed- speed subscriptions took place in 2H18, a migration from unlimited data plans to volume-base plans for majority of customers is expected to occur in 2H19. However, the intensity of prepaid