use. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the

information among work units and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including

period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are

been given an order to rectify its impaired financial condition by way of capital decrease and subsequent capital increase with an assistance from a government agency or a state-owned financial

policy to prevent and manage conflicts of interest as prescribed in Clause 17 shall describe at least the following contents: (1) identifying conflicts of interest which may arise in every process of

expeditious and fair alternative dispute resolution, the customer may request to enter into an arbitration process as organized by the SEC Office for the settlement of civil dispute incidental to or resulted

audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the

conflicts of interest which may arise in every process of business operation; (2) designating systems and measures for preventing conflicts of interest at least the following rules: (a) ensuring that any

effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system

the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the