without considering of investment objective, financial status or individual needs; “specific advice”6 means an investment advice given to any person that suitable to investment objective, financial status
document and evidence, including considering of investment objective of the customer, knowledge, understanding and experience in derivatives trading, financial condition, and debt repayment capability of
principles and have reliable document and evidence, including considering of investment objective of the customer, knowledge, understanding and experience in derivatives trading, financial condition, and debt
procedures in considering to report a suspicious transaction. Clause 20. Securities company may prescribe that a transaction with the following nature or other similar transactions be a suspicious transaction
transactions; (3) arrange to have proper procedures in considering to report a suspicious transaction. Clause 20. Securities company may prescribe that a transaction with the following nature or other similar
detect suspicious transactions; (3) arrange to have proper procedures in considering to report a suspicious transaction. Clause 20. Securities company may prescribe that a transaction with the following
as from the date of submission of complete and accurate application, other documents and evidence. In considering the application, the Office may summon the applicant to give statements or submit
result of the application within thirty days as from the date of submission of complete and accurate application, other documents and evidence. In considering the application, the Office may summon the