/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process

(1992) which contains certain provisions in relation to the restriction of right and liberty of person which Section 29 in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and

use derivatives investor contact service from any service provider, such service provider shall have following qualifications: (1) Being a securities company having any relationship with derivatives

that are associated with securities borrowing and lending business complied with this Notification and to extend period of time in maintaining information and documents that are related to the custody of

notification to extend the applicability of the provisions of this Division to any other categories of derivatives business operators.

the notification to extend the applicability of the provisions of this Division to any other categories of derivatives business operator.

service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct

or order must be kept until the complaint has been completely dealt with; If the giving of advice or placing of order under the first paragraph has been made via telephone or by electronics mean, a

) which contains certain provisions in relation to the restriction of rights and liberty of persons which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43, and

capital in accordance with the Notification concerning Maintenance of Capital , the intermediary shall not: (1) provide services to new clients; (2) extend the period for provision of services to its