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

Office. Clause 10. The securities companies are allowed to upgrade its online branch office to full-service branch office provided that on the date the securities company upgrades its branch, it meets the

the date the branch office starts its operation in accordance with the format set out in an electronic system of the Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch

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

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

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

) Specify other remunerations and describe their characteristics, for example, the right to buy shares or convertible securities for directors and executives (clarify the rules and procedures for allocating

describe their characteristics, for example, the right to buy shares or convertible securities for directors and executives (clarify the rules and procedures for allocating such securities and the right