described under Clause 12 except for the cases specified under Clause 13 and Clause 14. Clause 11 In the interest of Clause 10(1), any of the actions below shall be deemed that the issuer or the offeror of an
available for viewing or submission to the SEC Office for inspection upon request. Chapter 2 Actions in Case of Failure by Intermediary to Maintain Capital Clause 12 An intermediary failing to maintain the
Office for inspection upon request. 6 Chapter 2 Actions in Case of Failure by Intermediary to Maintain Capital Clause 12 An intermediary failing to maintain the capital in accordance with the Notification
approved person shall take the following actions during the period of operation: (1) compiling and assessing the information of the service user for the following purposes: (a) to know the service user; (b
following actions during the period of operation: (1) compiling and assessing the information of the service user for the following purposes: (a) to know the service user; (b) to categorize the service user
, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for
with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for a client to obtain
final the details of implementation schedule and relevant actions following the International Accounting Standard 21 accordingly. 7. Approved the related parties transaction as the following transaction