the Office 17. Circular 13/2544 22/02/2001 Report/Form (Notification of Securities and Exchange Commission) Request Form for Examining Information of Persons who the Securities Company will
or home regulator, as the case may be. Clause 7. Prior to selling units of foreign collective investment scheme, securities company shall at least undertake the following steps: (1) examining
provide a system for recording, examining and reviewing the clients’ information so as to ensure that such information is correct complete and current throughout the period of derivatives trading. Clause 10
provide a system for recording, examining and reviewing the clients’ information so as to ensure that such information is correct complete and current throughout the period of derivatives trading. 1 Amended
alteration which having the regulation related to requested procedure, development or alter procedure, examining procedure and transfer operational system procedure. [A] · Providing a procedure or compliance
related to requested procedure, development or alter procedure, examining procedure and transfer operational system procedure. [A] o Providing a procedure or compliance guideline for emergency change and
examination together with documents and evidence in full. In examining the characteristics of the units of foreign ETF, the SEC Office may instruct the applicant to make clarifications in person or submit
Auditors dated April 9, 2015. 12.3 The SEC Office begins the period of time for examining facts and considering the application for approval from the date on which the SEC official has received the required
Auditors in the Capital Market. 3. The SEC Office begins the period of time for examining facts and considering the application for approval from the date on which the SEC official has received the required