have any matters showing that management company enter into the service with unnecessary reason in order to obtain the soft commissions for the fund from such person (churning); In allocation of such
connection of physical disconnect and disable port that unnecessary to connect to network system out of the network system. [M] · In case of accession to the network system as remote access or connect to
services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge
securities company desire to comply with the financial statement accounting standard prior to enforcement date; 2.3 reason shown that the securities company is unnecessary to prepare the financial statement
company, clarify why such practice is employed instead of direct shareholding by the Company; (3) In case of several connected transactions, each with little value, grouping such transactions as seen