deal with having conflicting demands on time from clients and/or management responsibilities and how are they supported? 2 How does the firm ensure that partners have sufficient time needed to maintain

securities business, derivatives business or any other business of financial service or participates or supports or having participated or supported such act of other person; (2) there are reasonable grounds

done at any period. In any case, the Company shall do so with discretion to ensure that the prediction hypothesis is reasonable and well-supported by clear explanations. In preparing disclosure of the

appropriate for the investment of the general investors and having the potential to generate income to the fund continuously; 2. being supported by documents evidencing the ownership or rights or agreements

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

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

. Stocks right and warrants means value of right issued by the company to the holder in order to purchase an ordinary share or preferred share, including shares issued for increasing paid-up capital warrant

complex capital market products, and [ii] supported by written materials and nformation; (4) advise on the client’s suitability for investment in or entering into transaction of risky or complex capital

prediction hypothesis is reasonable and well-supported by clear explanations. In preparing disclosure of the annual registration statement in the following year, the Company shall clarify if and how the actual