business day of the month following the month in which the appointment or the termination of appointment of representatives occurs. Clause 4. This Notification shall come into force as from 1 February 2008
disruption of critical function occurs, intermediaries shall report to the SEC the cause leading to such disruption together with relevant details at the earliest time but no later than the next business day
(1) without delay. Clause 10. In the event that a major operational disruption occurs, a securities company shall report to the Office the cause leading to such disruption together with relevant
investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in
the operational procedure under (1); (3) in the case where a proprietary trading occurs during any of the following periods, the intermediary shall be able to demonstrate evidence proving that there is
from the date on which such matter occurs and it shall be deemed that the securities company is given an exemption by the Office from appointment of independent director during such period. Clause 3. Any
Clause 3(5) at least once every two years unless the first attendance of such training occurs after such approval has been granted, in which case the Office may extend the interval of such training beyond
immediate review shall be done when any circumstance occurs which may affect the qualifications or prohibited characteristics of the service provider or may cause violation of the regulations as prescribed in
regularly, at least an immediate review shall be done when any circumstance occurs which may affect the qualifications or prohibited characteristics of the service provider or may cause violation of the
mobile devices; (7) arrange for actions to mitigate impact when an information security incident occurs, for example, immediate disconnection upon being aware of an incident, etc. In the case that the