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
derivatives exchange and such regulations is the 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
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
, 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
the lessee without purchasing the asset, 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
…………………………… In offence relating to.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final
disclosure of financial statements (for example, reporting requirements on directors’ and executives’ securities trading and penalty measures on misuse of inside information, etc.) 9.6 Auditor remunerations
information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct, and complete data processing