assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing services to the
client; (c) to assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing
undertake securities business in the category of securities brokerage. Clause 19 In considering an application for account opening and entering into an agreement with a client to appoint a securities company
3 The derivatives dealer shall enter into an agreement with the client in writing at the time agreed upon to provide services to the client to arrange for a dispute resolution by an arbitration
Provisions ________________________ Clause 10 In cases where an intermediary is required to make an agreement with a client before providing services, whether in the form of an application to open a trading
Derivatives Brokerage ________________ Clause 17 In providing the derivatives brokerage service, the derivatives broker shall enter into a written agreement with the client who has assigned the derivatives
into the agreement which appoint the securities company as the securities broker of the client, the securities company shall establish the methods and procedures for considering the application for
client before providing services, whether in the form of an application to open a trading account, a contract or any other agreement, in accordance with Clause 44 of the Notification on Standard Conduct of
the SEC Office, and shall continue the maintenance of such documentation for at least five years from the termination date of the agreement with a client . The provisions in Paragraph 1, Paragraph 2
restriction (4) Commencement date and expiry date of the agreement (5) Procedure for appointing a custodian (6) Information that should be disclosed to the client and the duration of such disclosure 6.1