period of emengency incidents happened for checking asset balance and doing transactions, and action measures of companies. Also, companies shall periodically communicate a progress of operation in case of
in general. Clause 11/2. The investment advisory company shall submit a report or present the document relating to the mutual fund rating within the period or periodically as prescribed by the Office
records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records previously obtained. In this regard, the
with the use of service by the intermediary and is in compliance with the security policy of the intermediary; (4) periodically review the qualifications of the cloud provider, such as the financial
relating to its derivatives business periodically or from time to time as specified by the SEC Office. The SEC Office shall also have the power to require any additional explanation or further elaboration on