show that such securities trading is executed after the client has received general advice , specific advice or has not received investment advice . Clause 21 A securities company shall examine and
rules, conditions, and procedures in detail relating to the matters specified in this Notification to provide clarity on compliance and to facilitate the inspection of such compliance by the SEC Office
rules, conditions and procedures in details concerning the provision of this notification to ensure the clarity of practices and to facilitate the inspection process of the Office. Clause 21. In case
for more clarity in practice and for the SEC Office’s examination of such matters. Clause 31 In cases where the SEC Office finds that a securities company violates or fails to comply with this
Notifications for the purpose of clarity in practice and for inspection by the SEC Office. Clause 34 In the case that the SEC Office finds that a derivatives broker violates or fails to comply with this
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
business value chain 3.2.1 Business value chain Describe the characteristics of the business value chain that show the relationship of the key stakeholders with the activities related to business operation
identified the Office shall have the power to prescribe rules, conditions, and procedures in details pertaining to related subject as prescribe in this Notification in order to promote clarity in practice and
under a specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that
position; (6) Fees charged on the derivatives transaction. Clause 4. Derivatives broker must show in the evidence of margin call at least the information as set out under Clause 3(1) and (3) as well as the