foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis ; “retail client” means a client other than an institutional client; “inside information” means the
trading capital market products for the benefit of itself or other persons before the data has been disseminated; (3) trading or entering into a transaction of capital market products by using inside
which satisfies the need of the users, and it shall communicate the development or change to all concerned persons for acknowledgement in order to be able to operate it correctly. Clause 8. The securities
solution first. (2) finalize the number of solvable and unsolvable complaints by category and inform the SEC Office for acknowledgement, on a quarterly basis, within fifteen days from the end of a quarter
inside information in the manner of exploiting other investors, or revealing such information for the benefit of other persons. For the purpose of sub clause (3) of the first paragraph, the term “ inside
financial position as specified under Clause 4 (1), the custodian shall notify to the Office and client within the day following the date of acknowledgement that the financial position cannot be maintained
to ensure that the acknowledgement of information is accurate and not misleading. Clause 19. To protect the interest of investors with regards to the information presented to them, the Office may order
advertisement; (3) clarify complete and accurate information to investors; (4) act or refrain from doing any acts within a specified period of time to ensure that the acknowledgement of information is accurate
assets, the securities company shall act as follows: (1) inform its clients and request them to sign upon acknowledgement of the client’s practice in depositing or withdrawing assets with or from the
computer network systems; (5) communicate protection measures with the users and arrange for the users to sign for acknowledgement and awareness of usage risks and the guidelines to control such risks; (6