characteristics as follows: (1) having deficiency in legal competence or having been subject to any legal proceeding under the law governing capital market or having untrustworthy characteristics as specified by
damage, [ii] other circumstances indicating that the applicant is facing financial distress, or [iii] reasonable grounds to believe that the applicant has any deficiency or inappropriateness in operational
of clients? assets: deficiency of the verification process created risk of damaging client assets. It was found that during August 2014 to March 2015 many clients asked the company to add another
consequently affect confidence in securities business and the capital market at large; (2) Custody of clients? assets: deficiency of the verification process created risk of damaging client assets. It was
service income and seriously lack of working capital and personnel shortage. This causes a material adverse effect on WCIG’s operations. After assessment the situation, the current Board of Directors of
receiving money from the original shareholders of Eastern Cuisine under a sale back agreement which guarantees the operating results; the risk of lack of expertise in the restaurant business; the risk of
performance. However, as the manners to evaluate performance may vary, the firm should implement the manner which is suitable for the environment and culture of each firm, Convincingly, the performance
; the risk of lack of expertise in the restaurant business; the risk of delay in entering into the transaction due to the fact that various conditions precedent must be satisfied; and the risk of not
law. Division 16 Prohibited Characteristics Clause 28 Personnel in the capital market business shall not possess the following prohibited characteristics: (1) having deficiency in legal competency
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