, the SEC Office is empowered to issue Notifications prescribing detailed rules with respect to the matters specified in this Notification to ensure practical implementation and to enable the SEC Office
Business regarding the prevention and management of conflicts of interest to be in the same manner with respect to the following matters: (1) Excessive Transactions for Clients shall be in accordance with
and category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as specified in the
investor contact and category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as
investor contact and category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as
’ financial status and debt repayment ability, with respect to all existing clients of whom the securities company has no records, by 31 December 2009. Clause 33 All notifications of the SEC Office, orders and
any data or documentary evidence relating to its clients’ financial status and debt repayment ability, with respect to all existing clients of whom the securities company has no records, by 31 December
any data or documentary evidence relating to its clients’ financial status and debt repayment ability, with respect to all existing clients of whom the securities company has no records, by 31 December
issue Notifications prescribing detailed rules with respect to the matters specified in this Notification to ensure practical implementation and to enable the SEC Office to inspect such implementation
detailed rules with respect to the matters specified in this Notification to ensure practical implementation and to enable the SEC Office to inspect such implementation. Clause 17 In case there is a certain