cash accounts and margin accounts of all clients after deducting money deposited as collateral for securities borrowing for making a short sale of each client at the rate agreed upon by the securities
arrange for such personnel to perform their functions in accordance with the established policy and procedures by meeting the following criteria: (1) educate all employees and contractors on IT security
all client after subtracting collateral for securities borrowing for short sale of each client at the rate agreed upon by the securities company and the borrower securities. However, if the securities
comply with all requirements. Yours sincerely, (Signature) ………………………………………….. (…………………………………………) Head of the audit firm………………………………. (Signature) ………………………………………….. (…………………………………………) Authorized person of
with all requirements. Yours sincerely, (Signature) ………………………………………….. (…………………………………………) Leader of the audit firm…………………………….. (Signature) ………………………………………….. (…………………………………………) An authorized director of
liquidity for derivatives trading in derivatives exchange; (4) “ initial margin ” means the minimum amount of assets which a client shall deposit to secure the performance of derivatives when entering a
English translation is strictly for reference. Please also note that the translation has not been subjected to an official review by the SEC Office and the SEC Office cannot undertake any responsibility for
who is independent from the responsible person for managing information security incidents under (2); (7) maintain all documents related to the management of information security incidents at least two
) “ general liabilities ” means total liabilities deducted by qualified liabilities . (5) “ total liabilities ” means (a) all of liabilities shown in the financial statement but not include the following
maturity; (4) investing in bill of exchange or promissory note that ordered payment or issued by a commercial bank or other banks established under specific law or securities company licensed to undertake