investors to clearly understand the selection of appropriate tools for investment according to their investment objectives, the Office, upon the approval from the SEC, shall have the authority to issue
shall be up-to-date at all times. Clause 6. To assure the conformity with the capital market policy at each particular time, or to enable investors to clearly understand the selection of appropriate tools
clearly be identified that they are forged; (5) a client whose transaction has been reported by the securities company as a suspicious transaction; (6) a client whose occupation or business is classified by
clearly be identified that they are forged; (Unofficial Translation) - 6 - (5) a client whose transaction has been reported by the securities company as a suspicious transaction; (6) a client whose
documents which can clearly be identified that they are forged; (Unofficial Translation) - 6 - (5) a client whose transaction has been reported by the securities company as a suspicious transaction; (6) a
for clients prior to trading for itself, unless clients clearly set out trading conditions otherwise. Clause 24 A securities company shall clearly determine methods and procedures for amending trading
shall trade securities for clients prior to trading for itself, unless clients clearly set out trading conditions otherwise. Clause 24 A securities company shall clearly determine methods and procedures
cause damage, financial insufficiency and defective or improper business operation; (2) the applicant’s shareholding structure clearly reflects the power of controlling shareholders and their interests
connected person of the business, in addition to the rules as specified in Clause 3, a waiver shall also be subject to the following rules: (1) The applicant has clearly disclosed the following information in