is made. The storage of such document or evidence shall be made in the manner which is immediately available upon the Office’s request for a review or an inspection. Clause 4 This Notification shall

in order to stimulate or reward the client to immediately [i] use offered services or [ii] invest in capital market products presented by the intermediary . “ institutional investor ” means an

of the complaint. Such document and evidence shall be stored in the manner which is immediately available upon the SEC Office’s request for a review or an inspection for the first two years. Clause 4

providing incentive gifts, rights or other benefits to a client in order to stimulate or reward the client to immediately [i] use offered services or [ii] invest in capital market products presented by the

maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial statement with auditor’s opinion for this fiscal year

marketing officer [A] 2. Damage Prevention 2.1 Fire Prevention system · Providing an alarm device such as smoke detector, heat detector etc. in order to prevent or suppress fire immediately. [M] · The

overall capital market because there are few service providers or a replacement of another service provider cannot be arranged immediately; “ affiliated company ” means a company having any of the following

sandbox and is allowed to provide services as a securities trading center in accordance with the license for establishing a securities trading center in such other manner on a continuous basis immediately

system immediately, the custodian may notify to the Office and request for the outcome of the consideration before the period of fifteen days. Clause 9. In case where the custodian can not maintain its

, the management company should make enquiry to the employer immediately demanding for a clear answer and monitoring until the employer has arranged for a correct amendment. In cases where the employer