following two business days; (2) improving the capability to maintain collateral and liquid asset adequacy for a period of not less than seven consecutive business days, within thirty days from the date on
which causes a movement or change in the client’s assets for a consecutive period of one year or longer, the securities company shall send a report on the client’s assets as of the last business day of
liquid capital more than the aforesaid rate for at least two consecutive business days and a securities company has already filed the report of net liquid capital calculation of those two consecutive
responsibility in the audit within a period of (“the cooling-off period”) · five consecutive years* for audit engagement partner · three consecutive years for EQCR and · two consecutive years for other key audit
less than five consecutive business days; (3) implement the corrective plan or guideline notified to the SEC Office under (2) in order to regain the maintenance of capital in accordance with the
undertaking business for not less than a period of three consecutive years holds more than fifty percent of its total shares with voting rights. Clause 3. An applicant shall be granted a license to undertake
means short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or
prevent risk from changing of price or value of assets or liability, an obligation binding or going to bind in the future by derivatives broker. Such trading shall be made through off-exchange with a
term of four years and may be re-appointed but shall not hold office for more than two consecutive terms. Upon expiration of the term of office, the appointment of new Chairman and commissioners shall be
commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the application process changing materially, and the SEC Office