). Chapter 2 Application Procedure and Fees __________________ Clause 6 An applicant shall file an application with the SEC Office, together with the evidentiary documentation via the form and method provided
-up capital as prescribed under Clause 10(4). Chapter 2 Application Procedure and Fees __________________ Clause 6 An applicant shall file an application with the SEC Office, together with the
-up capital as prescribed under Clause 10(4). Chapter 2 Application Procedure and Fees __________________ Clause 6 An applicant shall file an application with the SEC Office, together with the
services and various types of investment risks. Periodic educational programs and activities ran via traditional and online media channels such as radio, television and prints. The SEC is in the process of
Licensing Manual for the Public, the SEC Office shall ascertain the facts in accordance with the procedure and method as prescribed in the Licensing Manual for the Public, and notify in writing the skeptical
quarterly MD&A (management discussion and analysis); and (4) Encouraging securities companies to voluntarily enter into dispute settlement through arbitration procedure Self-Discipline ● Prescribed best
Including the profit margins in the associated companies based on the equity method. 3 Describe the nature and proportion of other incomes. In this regard, each significant income shall be displayed in a
structure during the past 1-2 years is required, as the case may be. 2 Including the profit margins in the associated companies based on the equity method. 3 Describe the nature and proportion of other
procedure and method set. Clause 22.26 A securities company shall not trade securities by using the account of a client for another client whom is not the account owner. Clause 22/1.27 In undertaking of
company shall clearly determine the method and procedure for amending the trading transaction of the client in writing. Moreover, securities company shall monitor the amended transaction of the client does