the management’s acknowledgment and application of such information to ensure efficient and up-to-date management; (3) putting in place an early warning system for maintenance of financial position to
customer and obtain the customer’s signature of acknowledgment of the risks which may arise from a short sale; (2) arrange for the customer to short sell through a margin account and call for collateral
date of the complaint received. And if the derivatives broker has not yet finished its solution to the complaint, a progress report shall be delivered to the Office every thirty days until the
complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress
compliance finished or in the necessary case for compliance in the long period, it should change password in every three months etc. · In case of non compliance in front of computer’s screen, it shall have a
demonstrating the acknowledgment of the client with respect of the caution about risks arising from such investment or transaction. While the client has not confirmed on the investment or entering into the
complaint has not yet been finished within such period, the securities company shall maintain records of such action until all complaint handling procedures are completed. In cases where giving of advice
. However, in the case where there is a complaint on the advise, trading instruction or negotiation and the case of the complaint has not yet been finished within such period, the securities company shall
The SEC Office upon approval of the SEC shall prepare and submit its operating plan to the Minister for acknowledgment every year and disclose the operating plan in a manner available for public access