for considering Associated Persons 3. Procedure to comply with the limitations (the case of holding more than one-third of total outstanding units over one year) 4. Procedures for holding investment
according to the National Legislative Council's procedure in due course. ?In addition to the legislation, the SEC is simultaneously working to remove obstacles and promote more use of FinTech by giving more
any unlawful benefits for themselves or others at the expense of the business operator. Noted: Filing a criminal complaint is the commencement of the criminal process. Under the Criminal Procedure
criminal complaint is merely the commencement of the criminal procedure whereby the inquiry official will perform an investigation before recommending the case to the public attorney who has authority for
managing potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a
potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a license
channel to communicate with the customers promptly as well as to increase pleasant level and top impression for keep maintain the existing customer base together with the increase of new customers. ▪ Risks
shall have a know-your-client and client due diligence procedure and ensure that the derivatives dealer is engaging solely with clients as defined in Clause 6. Additionally, the derivatives dealer shall
have a know-your-client and client due diligence procedure and ensure that the derivatives dealer is engaging solely with clients as defined in Clause 6. Additionally, the derivatives dealer shall