until Satang Corporation Company Limited shall improve and correct the violation properly. However, the mentioned amount of fines does not include daily fines starting from the day following the
statements for the third quarter of 2016, which had failed to present correct information on the liabilities incurred from the bills of exchange issuance. The initial deadline for submitting the special audit
client of the operation according to (a); (c) Disclose the repurchase price to the client; (d) Ensure that responsible staff provides correct information to the client; (3) Provide service for client
securities company; (b) Promote or publicize to the client of the operation according to (a); (c) Disclose the repurchase price to the client; (d) Ensure that responsible staff provides correct information to
recording device. Clause 17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other
17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other persons’ use. 6 Added
(Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch | - |- Outsourcing Services | - |- Joint Management Agreement / Other Agreements |- Auditors | - |- Approval (Section
)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch