substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application

derivatives investment advisory on the condition that the person giving advice and the owner of the website or any other electronic media do not collaborate or share duties with the other party to avoid

securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly

pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of

of money used in investment is immaterial compared to the deposited amount; (9) terms and conditions of the client’s payments and settlements indicate an attempt to avoid conducting transactions

assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3

such article or research paper in the underwritten securities, provided that such statement shall be distinct, easy-to-read, and not smaller in size than the regular font used in such article or research

size than the regular font used in such article or research paper, and shall be on the same page of the summary of such article or research paper or at a nearby position which can be seen clearly. Clause

interest of investors. (3) disclose or provide important and relevant information sufficient for investors’ decision making; (4) keep investors’ confidentiality; (5) carefully perform duties to avoid

a regular basis. A securities company shall maintain complete evidentiary documentation related to the operation in Paragraph 1 and Paragraph 2 in a manner ready for prompt retrieval or inspection by