has decided that intermediaries shall comply with the rules and conditions issued by the AMLO instead; however, intermediaries shall have an efficient risk management system adequate for the prevention

following conditions: (a) being imposed a civil penalty by Civil Penalty Committee or being ordered or judged a civil penalty by court to prohibit the persons from being directors or executives in securities

investment or entering into a transaction (if any). Division 4 Operation after a client’s decision to use service _____________________________ Clause 43 When a client has decided to use a service, an

decision for investment or entering into a transaction (if any). Division 4 Operation after a Client’s Decision to Use Service _____________________________ Clause 43 When a client has decided to use a