warning on issues. BP saw such an earthquake in its share price after the Gulf oil spill disaster prompted engaged investors to use their voting rights to call for the removal of the chair of the board’s
; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices
for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices. In case of absent of the branch office manager under the first
; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices
manager and the following work units: (1) A derivatives services unit; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives
account. In essence, this legislation stipulates that a receiving bank must carefully check the account number and account name of the recipient to ensure their accuracy. If any suspicion of misconduct
by the Notification of the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days from the date of acknowledgement of such misconduct. Clause
from the date of acknowledgement of such misconduct. Clause 13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with