changes to such systems are urgent, such fund supervisor may inform the Office of such urgency to request the result of the consideration for such change approval before the fifteen-day deadline is due. Any
changes to such systems are urgent, such fund supervisor may inform the Office of such urgency to request the result of the consideration for such change approval before the fifteen-day deadline is due
company shall not engage in any act which result in creating, altering, transferring, reserving or terminating the right in assets of any client, without or not comply with instruction or consent from the
in any act which result in creating, altering, transferring, reserving or terminating the right in assets of any client, without or not comply with instruction or consent from the client or client’s
report the result of securities dealing in accordance with related rules and the work unit responsible for post-trade operation can immediately confirm the securities trading with its counter trader
submit a report of securities dealing to work unit responsible for post-trade operation within reasonable period of time in order for the securities company to acknowledge and be able to report the result
-trade operation within reasonable period of time in order for the securities company to acknowledge and be able to report the result 5 Amended by Notification of the Securities and Exchange Commission No
handling system, report of customer complaints and result of the complaint in accordance with the rules specified in the notification of the SEC Office. Clause 27/1 In servicing as Derivative broker
deception to customer or may make them misunderstand in any material aspects. Clause 27. Derivatives broker shall arrange to have complaints handling system, report of customer complaints and result of the