exchange, outside the Securities Exchange or an over-the-counter center, of securities, for one's own account in the normal course of business. "investment advisory service" means giving advice in the normal
trustee shall have legal right over trust property as an owner of the property or a person entitled to the right over the property, and shall have the duty to manage the trust property in accordance with
intermediary shall ensure that the IT asset management meets the following criteria: (1) identify persons or units responsible for each type of IT assets over the whole asset lifecycle; (2) establish the terms
, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of
” means the day on which an offer for sale of securities is closed for a securities underwriter in general cases; (7) “date of providing over-allotment shares in full” means the day on which a provider of
and sale or exchange of securities in the Securities Exchange and in an over-the-counter centre by a securities company licensed to undertake securities dealing business; (9) relocate its head office or
additional information and facilitate the SEC Office’s officials or assignees in conducting a site visit and inspection over the audit quality control system of the audit firm where I work for, for the benefit
the over-the-counter center is incorrect. If the cause of error resulting in the incorrect unit value under paragraph one hereof consequently affects the following calculation of the unit value, e.g
as investment advisor or derivatives investment advisor on the condition of not involving in the data collection or the data processing to publish advice on the website or electronic media, including
best interest of the clients which should have priority over the interest of its own e.g. management of investment in accordance with the objective, investment policy and client’s expectation by