Office. Clause 10. The securities companies are allowed to upgrade its online branch office to full-service branch office provided that on the date the securities company upgrades its branch, it meets the

the date the branch office starts its operation in accordance with the format set out in an electronic system of the Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch

of the Office. In issuing the notification in accordance with the first paragraph, the Office shall specify the following important matters: (1) capital fund, net total assets and business operation of

controlling power and the nature of business during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (e.g., merger

daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an

case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their

changes in the shareholding structure, management or business operation or any other important events (for example, merger and acquisition) during the past three years, if any. 1.3 Shareholding structure In

Prevention system · Providing a prevention a computer system form damage of inconsistent electricity. [M] · Providing a preserved electricity system for the important computer system for the purpose of

oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations

by the SEC Office to have important rules related to supervision of investment management equivalent to the rules governing securities companies licensed to undertake securities business in the