such action until the complaint handling is completed. In the case where the giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the
negotiation and the handling thereof has not completed within such period, the securities company shall maintain the records of such action until the complaint handling is completed. In the case where the
) having a clear action plan which demonstrates determination for providing services of trading investment units in the long run; (6) having sufficient readiness for providing services and ensuring that
ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5) having a clear action plan which demonstrates determination for providing
ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5) having a clear action plan which demonstrates determination for providing
prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited
, in addition to the action under the first paragraph, the mutual fund management company shall arrange for the mutual fund supervisor to examine and certify in writing that such transaction is in
period of emengency incidents happened for checking asset balance and doing transactions, and action measures of companies. Also, companies shall periodically communicate a progress of operation in case of
companies throughout a period of emengency incidents happened for checking asset balance and doing transactions, and action measures of companies. Also, companies shall periodically communicate a progress of
fund manager; (16) Intentionally neglecting to take action in compliance with any order of the Office or the Securities and Exchange Commission under Section 141, Section 142 or Section 143; (17