characteristics as specified in Section 103, the Office shall have the power to withdraw its approval and the securities company shall propose other persons for the approval from the Office within fifteen days from
servicing agreement, the intermediary shall refuse to provide any service or limit scope of providing services. Clause 37 An intermediary shall review or adjust received information as prescribed in Clause 31
communicate emergency plan to concerned person acknowleged as necessary and preventing unauthortized person acknowleged Propose to delete “preventing unauthortized person acknowleged” IT Club Approve with the
provide any service or limit scope of providing services. Clause 37 An intermediary shall review or adjust received information as prescribed in Clause 31 to be current at reasonable time or when it appears
customer within seven days from the date the derivatives broker completes its consideration of the customer complaint; (3) notifying the customer to acknowledge the rights to propose the complaint to be
appraising, it shall adjust such items to demonstrate total. If total result in loss, it shall demonstrate the amount of cash in the parenthesis. 1.4 Gain (loss) on Derivatives trading means gain or loss on
Office; (3) calculate the market prices of derivatives held by a client including any profit or loss from positions on derivatives in order to adjust the margin value of the client at least at closing time
Clause 4/1, the SEC Office shall propose for the Securities and Exchange Commission to consider granting the license within sixty days as from the date when the SEC Office receives the application together
contract, the derivatives fund manager shall: (1) Propose investment plans which are suitable for investors; (2) Sufficiently and timely disclose or arrange to have disclosure of information that is
complete qualifcations as specified, the Office shall propose the case for the Securities and Exchange Commision to consider granting the license, in which case the Securities and Exchange Commission shall