the date of the withdrawal. The provisions of Section 103 shall apply mutatis mutandis to the persons with whom the securities company enters into an agreement allowing such persons as well as those who
, equipments, assets and place of business of companies, financial status, customer’s trust and company’s reputation, as well as a compliance to governmental regulations. Also, it should consider to wide impacts
derivatives contract, as well as other evidence relating to customers’ derivatives trading, shall be kept for a minimum period of five years from either the transaction date, the margin call date, or the
Clause 3 and Clause 4 as well as the following information: (1) customer type, by indicating whether the customer is an institutional or retail investor, and also indicating the case where a customer is
major shareholder. Also required is information on the rationale and opportunity or necessity for mutual reliance and support as well as strategic positioning of the Company or its group of companies in
environmental activities of the Company or the subsidiaries during the past year may also be disclosed herein as well. Additional guidelines for anti-corruption initiatives The information on the anti-corruption
efficient business operational process should be disclosed as well. The Company may also disclose the operating results, the outcomes and the action plan (if any) related to other social management as the
Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities
least bachelor’s degree or other academic degrees accepted by the Office of the Civil Service Commission (OCSC); (2) having work experience relevant to real estate businesses as well as useful and
, e.g. commission, exercise fee, etc. These charges add to the Client’s investment costs and will affect loss and gain as well as the Client’s investment decision. Commission may vary depending on type