substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application

and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be

center, organization related to securities business or information relating to any violation and penalty imposed on the violators, including any other information obtained in the performance of duties

securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly

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

, except for the penalty arising from the early termination; (c) any other liabilities as stipulated by the SEC Office; (2) other off-balance sheet’s contingent liabilities which may contribute to the

to buy the leased properties, except the penalty from premature termination; 3. other particulars as stipulated by the Notification of the Office of the Securities and Exchange Commission; (b) other

maturity date without the condition to buy leased properties, except the penalty; 3. other particulars as stipulated by the Notification of the SEC Office; (b) other contingent liabilities of securities

same matter under this Chapter, and the Stock Exchange or the derivatives exchange has already imposed a penalty on such persons in accordance with their respective regulations, the SEC Office may not

assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3