statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of
, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
. In the case where a management company has determined a policy or a guideline for setting up the price or the rate for entering into a transaction with a connected person , and such policy or guideline
bonds are entitled to redemption under a firm quotation price or at a minimum price pre-determined on the issue date of such bonds. Clause 12 In order to appoint or assign any person to perform duties
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “ control ” means control as determined
action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information
company report transmission system” means electronic data transmission system determined by the Office for use of the securities company in submitting the report of the securities company to the Office
. subordinated liabilities being unsecured which have the remaining maturity period of more than one year as from the calculating date, and have not determined the condition to repay before the maturity date
liabilities; 1. subordinated liabilities being unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the