which the mutual fund is entitled to receive from other persons; (2) disposing of the mutual fund’s assets and converting into cash, bank deposits, or promissory notes issued by commercial banks or
handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings
Subj: Application for establishing a branch office or converting an online branch office into a full branch office. The applicant hereby notifies the details on the establishment / conversion of a branch
structured notes, convertible bonds, or warrants shall report the redeeming, [converting,] or exercising rights of such securities to the SEC Office under the following rules; (1) the report for the redemption
services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC
complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress
securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit
and procedures for engagement supervision? which include: (a) Tracking the progress of engagement. (b) Considering the competence, capabilities and experiences of individual members of engagement team