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figures and brokerage commissions, giving less importance on recommending products suitable for investors' risk tolerance and their long-term investment goals. This may lead to multiple financial products
figures and brokerage commissions, giving less importance on recommending products suitable for investors' risk tolerance and their long-term investment goals. This may lead to multiple financial products
applying for approval to be the major shareholder of the securities company or in any other report required to be filed with the SEC Office or SEC; (10) has worked in the manner indicating lack of ethic or
; lack of professional ethics or violation of or non-compliance with the regulations under the law governing accounting professions and other additional regulations prescribed by the law governing
actions that indicate a lack of professional ethics or standard of conduct in performing the duties of financial advisor. (5) Directors, managers, the executives of the investment banking unit adhering to
actions that indicate a lack of professional ethics or standard of conduct in performing the duties of financial advisor. (5) Directors, managers, the executives of the investment banking unit adhering to
respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its operational system will be prompt for operating securities business in
obtaining the license, not have operational records indicating cheat or dishonest, irresponsibility, reckless in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable
respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its operational system will be prompt for operating securities business in