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
procedures in a remote location to escape any damage from a disaster at the main site, which should be given an appropriate level of protection as described in the section of Physical and Environmental
collection or any other compensation to be collected from the securities issuer. Clause 5/1 ( In the case where the Office has considered that the applicant for a license under Clause 3 has the accurate and
interest Total 1. Balance at the beginning 25x0 x x x x x x x (x) x x 2. Accumulation from write off x x x 3. Adjusted balance x x x x x x x (x) x x Alteration between a period 4. Appraisal surplus x x 5
in Paragraph 1(1) shall be the accumulation of all such persons. Clause 27 The management company may allot the units to the exempted persons exceeding the specified rate in Clause 26(1), but not
services relating to capital market products . Division 1 Compilation and assessment of client information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s
and means as determined by the intermediary , that they are assigned by the intermediary to provide services relating to capital market products . Division 1 Compilation and Assessment of Client
trustee under the first paragraph. The SEC Office has the power to specify in its notification the rules, conditions and procedures relating to collection, disposal or allocation of the property specified
activity accepted by the Office A minimum of 3 hours per course or seminar A minimum of 1 hour of lecturing per subject Hours accumulation 1. Breaks will not be counted except breaks of 15 minutes or less 2
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the