doubtful evidence or documents which can clearly be identified that they are forged; (12) it is found under the KYC/CDD process that the client is involved with the committing of predicate offence or money

persons, for example, seeking or exploiting any benefit for oneself, securities companies or other persons by virtue of own position or committing a fraud in an examination. Division 2 Effects of Possessing

receivables of securities borrowing; (g) receivables of pledging account; (h) any other asset as stipulated by the Notification of the Office of the Securities and Exchange Commission. (5) “ general liabilities

purchased to order; (f) receivables of margin loan and receivables of securities borrowing; (g) receivables of pledging account; (h) any other asset as stipulated by the Notification of the SEC Office. (4

pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control

requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of investment, debt repayment and pledging collateral, and

investment, debt repayment and pledging collateral, and confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically