, disclose the expenses spent on such research and development during the past three years. In case of none, specify so and explain the reason thereof as well. (2) Marketing and competition (a) Describe the
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
the upcoming competition after the liberalization of securities business license, the securities company shall use their judgement in specifying the appropriated office hours. So it’s deemed necessary
companies is part of the conglomerate or a business group of a major shareholder and by nature of the core business the Company may need to form a relationship, reliance or competition against other
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
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
prepared for the upcoming competition after the liberalization of securities business license in the future, this Notification is issued to determine the rules regarding permission to qualified securities