Short Sale (No. 9) dated 3 October 2008. -4- (1) provide sufficient information of such person to analyze the suitability of lending money for purchasing securities or lending securities for making a
/Percentage) Remarks: besides application fee, an applicant should be responsible for expenses incurred from the SEC Official visit to examine working paper and audit quality control system of the audit firm
efficiency of frameworks for monitoring and analyzing systemic risk to examine circumstances and detect weaknesses promptly and prevent severe effects on the overall capital market. In addition, SEC engages
the redemption price to the client ; (4) examine and supervise the employee responsible for the said duties to provide true and accurate information to the client . Clause 18 In considering a
hours of the securities company. (2) publicize or disseminate the information on the implementation under (1) to the client; (3) disclose the redemption price to the client; (4) examine and supervise the
be prudent. The management company should examine the procedure for obtaining the resolution and vote counting. In preparing a report on the resolution in order to amend the mutual fund scheme, the
laws and related rules in which the management company should be prudent. The management company should examine the procedure for obtaining the resolution and vote counting. In preparing a report on the
may hold at any time. In consideration of pledging and debt repayment capability of the customer in the first paragraph, derivatives broker shall be prepared prudently and carefully by examine the
pledging and debt repayment capability of the customer in the first paragraph, derivatives broker shall be prepared prudently and carefully by examine the financial condition, source of income and property