Securities Companies. By virtue of the third paragraph of Clause 5 of the Notification of the Ministry of Finance, Re: Prescribing conditions requiring securities company to apply for approval of persons who
statement requiring derivatives broker to be responsible for such assets in full amount. Clause 3 A derivatives broker shall not appoint any person as its agent to undertake custody of assets of clients
securities and exchange and relevant rules issued thereunder; (2) requiring the representative to act in compliance with the rules of selling or redeeming investment units or client solicitation , and to
of duty performance to seek wrongful gains; (3) requiring the employees to notify the intermediary in the case where the employees and their connected persons have an account for trading capital market
the category of requiring the issuer to distribute the fact sheet, the securities underwriter shall circulate such document with the same material information of the registration statement in the form
shall be a statement requiring the securities company be responsible for such assets in full amount. Clause 8 A securities company shall not appoint any person as its agent to undertake custody of clients
the fund by the resolution of the general meeting; (3) occurrence of any event requiring a dissolution as prescribed by the fund’s articles; or (4)2 dissolution of the fund by the order of the registrar
requiring additional collateral, as the case may be; (3) in case of securities borrowing and lending transaction, and pledging or redeeming collateral, the confirmation statement shall be sent out within the
service requiring data for processing; (b) experience on investment or entering into any transaction; (c) knowledge relating to investment or entering into any transaction; (d) purpose of investment or