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, as the case may be. “ support system provider ”4 means a person approved to be a support system provider under the notification concerning support system provider . “ support system ”4 means support

comply with the requirements prescribed by the Office. This is to encourage securities companies to organize more in-house training which will support the ongoing personnel’s skill development to be better

: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.

” means association related to securities business authorized from the Office to establish and register with its objective to support and develop securities business in the category of investment management

legal copyright. [M] 7. Capacity planning. · Providing an assessment the importance computer system in advance for compliance support in the future. [M] 8. Virus prevention and malicious code. · Providing

services, more than those should be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action

Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By

to have the units sold to the general investors listed on the Stock Exchange; (9) the fund project and the commitment between unitholders and the management company contain the stipulations to support