office or a full-service branch office for approval; (3) accept or deliver money or securities by electronic equipment; (4) undertake any other necessary duties as prescribed by the notification of the

the application to head office or a full-service branch office for approval; (3) accept or deliver money or securities by electronic equipment; (4) undertake any other necessary duties as prescribed by

company shall keep such record into recording tape or electronics recording appliance. Clause 19/1. In dealing with retail client, a securities company shall arrange to have documents or evidence showing

on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is

intermediary not to comply with any requirement under this Notification on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or

by the company etc.. 2.5.2 Premises and equipment expenses means depreciation, rent, repair and maintenance, insurance premium, housing and land tax, water fee, electrical fee, telephone fee, material