client by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c) handling of the

services to the client by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c

securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from

discontinuation of service provision under the regulatory sandbox ; (c) After consideration, the SEC has the following opinions: 1. there is a reason to believe that the provision of services cannot solve a problem

services to the service user by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information for the service user to choose services or make investment

established under following Notifications: (1) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Property Fund to Solve the Problem in

give the securities company sufficient time for preparing or taking any action to allocate fund or solve an issue of maintaining the financial position possibly arising from operational risk. Clause 4 A

and procedures for engagement supervision? which include: (a) Tracking the progress of engagement. (b) Considering the competence, capabilities and experiences of individual members of engagement team

. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking

exchange; (b) containing no provisions that permit one party having the obligation to deliver goods to settle by cash or set-off with the other party in lieu of the delivery of goods ; and (c) the customary