, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the
outstanding shares are held by the company under (a); (c) Any company whose shares are held in continuous chain beginning from the company whose shares are held by the company under (b), provided that the
percent or more of its total number of outstanding shares are held by the company under (a); (c) Any company whose shares are held in continuous chain beginning from the company whose shares are held by the
, as the case may be; 2 (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
Institute of Appraisal Profession under the first paragraph shall be recognized by the SEC Office as an appropriate organization for supervising and promoting appraisal profession as prescribed in Clause 18
matching status • Order cancellation • Projected price & quantity • Imbalance (Buys – Sells) • Reversals Continuous Market Starts • Spreads • Market depths • Realized volatility • Weighted price contribution
: (1) screening and selecting foreign securities business operator that is credible and able to give advice under the law supervising business operator in such foreign countries; (2) notifying
: (1) screening and selecting foreign securities business operator that is credible and able to give advice under the law supervising business operator in such foreign countries; (2) notifying
The derivatives broker shall put in place policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by
The derivatives broker shall put in place policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by