software; (2) preventive and detective controls of the use of unauthorized software and known or suspected malicious websites; (3) installation and regular update of malware detection software, as well as
person realise the essential of security of the information technology thoroughly had known the duties and responsibilities and guideline on controlling the various risk which have a content covering the
information related to clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “ investment ” means an acquisition
intermediaries shall comply with those Notifications as well. Clause 9 In revising and updating client information within a reasonable period of time under Clause 37 of the Notification on Standard Conduct of
stipulate a position limit of their clients, the intermediaries shall comply with those Notifications as well. Clause 9 In revising and updating client information within a reasonable period of time under
the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and
sensitivity analysis, the management company or the financial advisor, as the case may be, shall explain the differences between the appraisal report in (b) and such financial forecast (if any) as well; (d) the
this application. b. Please mark an X in the appropriate box corresponding to your answer c. Send complete and signed form to Accounting Supervision Department The Securities and Exchange Commission
securities, as well as the suitability for investment and the relevant risk exposure. The effectiveness of the Registration Statement neither represents that the Securities and Exchange Commission, the Capital
Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities