1 shall prepare and file such reports even though there is none of any transaction during such period. Clause 4 Business operators shall file reports in Clause 3. with the SEC Office in the electronic

have duty to file the reports under (2) or (3) with the Office shall file such reports even though there is no transaction during such period. Clause 3/1 . In case where securities companies wish to file

benefit of the intermediary , the intermediary shall ensure that such contract entitle the intermediary to the rights as though the intermediary enters into such contract itself, and the intermediary shall

contract will validate the rights, duties and responsibilities of the service provider to the intermediary in the same manner as though the intermediary is the counterparty itself. In addition, the

products are different from plain vanilla products; therefore, although the client has ever invested in or entered into a transaction of risky or complex capital market products, the client ought to

client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment, although both clients [or both groups of clients ] are classified in the

, although both clients [or both groups of clients ] are classified in the same category which have to be treated equally; (5) [i] providing inappropriate service of each type or category of businesses which