provider upon request. Clause 19/15 Clause 18(7) and 19 shall not apply to the following cases: (1) Intermediary that outsource its function to support system provider specifically the function that is
which is beneficial for controlling employee of securities trading, and such other information under possession of the securities company, upon receiving a request by the other securities companies within
receiving a request by the other securities companies within a reasonable period; (3) informing the client and the person who has power to instruct the orders for securities trading for the client’s account
retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory
wishes to request for exemption from the Securities and Exchange Commission, as follows: Name Prohibited characteristics requested for exemption
, the company wishes to request for exemption from the Securities and Exchange Commission, as follows: Name Prohibited characteristics requested for exemption
main office of the securities underwriter for the period of at least one year from the offering closing date in such a manner that can be promptly presented to the Office upon request. The fair