into categories, such as for the purpose of dividend level maintenance, for business expanding or under encumbrance condition. 26.2 Unappropriated means retained earnings and net income of accounting

, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association

appearing in the licensed operator’s list of shareholders submitted to the Ministry of Commerce. Clause 4 This Notification shall come into force from 1 December 2017. Notified this 31st day of October 2017

of registration of the branch office above with the Ministry of Commerce. Sincerely Signature: ...............................(authorized person) For and on behalf of

) Certificate of company registration; □ (2) The copy of memorandum of association of the company which certified by the company-partnership registrar of the Ministry of Commerce; □ (3) The copy of article of

pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of

applicant. The original shareholders in Paragraph 1 shall mean the shareholders whose names are on the applicant’s shareholder list as submitted to the Ministry of Commerce. Clause 5 In the case where an

evaluation of controls on complex systems; and · effect of Internet and e-commerce. 2 How is firm dealing with greater use of computer technology - at firm: · use of intelligent software to carry out audit

the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the

shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the shareholder’s equity