taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the

having duty as prescribed in the second paragraph of Clause 3(2)(a) shall keep evidentiary documentation or information supporting the reason for allocating shares to any person in the value more than 100

shareholding of the same group: (a) Top 10 highest shareholders; (b) The majority shareholders whose behaviors materially influence management policy-making or the Company's operation (for example, assigning a

procedures, such securities underwriter shall also proceed as follows: (a) prepare a name list of the top one hundred largest allocated persons, together with the reason for allocating securities to each

fair allocation procedures, such securities underwriter shall also proceed as follows: (a) prepare a name list of the top one hundred largest allocated persons, together with the reason for allocating

policy-making or the Company's operation (for example, assigning a person to be an authorized director). If the shareholders identified above do not represent the true shareholders, for example, those

trading execution, allocating of securities after trading to be in compliant with the predetermined plan, recording rationale for changes in investment allocation where it differs from the record of

perform duties under Clause 4, an intermediary shall comply with the following rules, as the case may be: (1) for appointing or assigning a person to hold the positions under Clause 5, such person shall

providing services that involves the followings: (a) selecting and assigning personnel having knowledge and understanding of each type of capital market products or services to be seller or service provider

Paragraph 1 shall include any business having any of the following chrematistics: (a) distributing products or providing services to the general public, either directly or indirectly, through other