structures indicate that it is acting as a business unit within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be
and support as well as strategic positioning of the Company or the group of companies in relation to the business group of the majority shareholder. If the business structures of the Company or the
securities, as well as the suitability for investment and the relevant risk exposure. The effectiveness of the Registration Statement neither represents that the Securities and Exchange Commission, the Capital
stipulate a position limit of their clients, the intermediaries shall comply with those Notifications as well. Clause 9 In revising and updating client information within a reasonable period of time under
well as maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under
securities company which is in a financial conglomerate with any of the following shareholding structures will be able to submit a request for an exemption from appointment of its independent director to the
the firm promote tax structures or products or provide tax advice - what kind of advice? How does it ensure that there is no doubt as to the related accounting treatment regarding the true and fair view
the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and
shall undertake all actions necessary to vest the new trustee with the right over the trust property and to allow the new trustee to learn of the previous and onward management as well as deliver
information related to clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “ investment ” means an acquisition