rules: (1) having a procedure for providing services by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information in order for the service user to
services to the service user by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information for the service user to choose services or make investment
considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information for the service user to choose services or make investment decisions accurately; (b) protection of
protect the interest of investors with regards to the information presented to them, the Office may order the securities company under Clause 14 to obtain prior approval for each advertisement. In applying
to the information presented to them, the Office may order the securities company under Clause 14 to obtain prior approval for each advertisement. In applying for approval under the first paragraph, if
a client to obtain rights and benefits arising from any securities or instruments owned by the client which are under custody of the derivatives broker from the issuers of such securities or
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
assistance is reasonable and will eventually increase Company’s profitability and benefit to obtain stronger financial condition of the Company. Thus, the Board of Directors has approved the receipt of
to obtain a customer contract shall be recorded as an asset and amortized to expenses on a basis that is consistent with the pattern of revenue recognition. Under the previous accounting policy, the