(approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives 1. To acquire assets or invest in a business related to
handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings
each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to
apply) ( 5.1 Using of going concern assumption appropriate but a material uncertainty exists (paragraph number.......) ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or
services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC
in the mutual fund management scheme and prospectus: (a) the projection of incomes and expenses of the mutual fund which includes the following information: 1. key assumption applied which is clear and
and disclosed in the mutual fund management scheme and prospectus: (a) the projection of incomes and expenses of the mutual fund which includes the following information: 1. key assumption applied which
of the risk management or allocation of IT resources in a year, etc.; (b) any progress of the IT project (if any); (c) any compliance with the regulations, rules or agreement made with external parties
complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress