advice; (6) measure on prevention of conflict of interests provided by the investment advisory company; (7) procedure and source of information used in giving advice to the customer; (8) procedure and
measure to allow the intermediary to access the information related to the trading of capital market products by the employees and their connected persons. The employees under the first paragraph shall mean
intermediary should establish another measure to ensure that the operation of the outsourcee remains in compliance with the agreed term; (7) establish the term for the outsourcee to agree upon to allow the SEC
establish another measure to ensure that the operation of the outsourcee remains in compliance with the agreed term; (7) establish the term for the outsourcee to agree upon to allow the SEC Office to call and
measures. The intermediaries shall assess risks and impacts of various crises and shall arrange a reasonable measure to support. The crises can be classified into 5 aspects, as follows: 9.1 Economic/physical
impacts of various crises in order to specify more extensive measures. The intermediaries shall assess risks and impacts of various crises and shall arrange a reasonable measure to support. The crises can
measure to prevent their employees, including those entrusted by the company, from tipping off /disclose information concerning suspicious transaction or other reporting made to anti-money laundering
transactions. Clause 21. Securities company shall establish a proper measure to prevent their employees, including those entrusted by the company, from tipping off /disclose information concerning suspicious
securities company not to report certain transactions. Clause 21. Securities company shall establish a proper measure to prevent their employees, including those entrusted by the company, from tipping off