, willfully or negligently, of the derivatives broker or its staffs. Clause 3. Derivatives broker shall not appoint any person to be its agent to undertake custody of customer assets. Clause 4. In taking
of any act, willfully or negligently, of the service provider; (2) Conditions and guidelines for the contract termination or suspension of service; (3) Service fees rate. Clause 9. In order to assure
matters: (1) Duties and responsibilities of service provider including responsibility for securities company and its clients from any act or omission of any act, willfully or negligently, of the service
company’s responsibility to the customers from any act or omission of any act, willfully or negligently, of securities company or its personnel, including other person authorized to custody client’s assets
responsibilities to the customers from any act or omission of any act, willfully or negligently, of the derivatives broker or its personnel Clause 17. For the benefits of prevention and desisting an unfair
a retail client under Paragraph 1 shall bear no statement denying the securities company ’s responsibility to the client for any act or omission of any act, whether willfully or negligently, of the
discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the
restatement. (paragraph........); ( 6.4 Others (paragraph........). This summary is intentionally prepared for management of a company in submitting together with financial statements to the Securities and
institution; (14) Performing work in a dishonest manner; (15) Intentionally concealing investments, financial condition or the actual performance of a mutual fund or a private mutual fund operated under the
investor, or participates or supports or having participated or supported such act of other person; (5) there are reasonable grounds to believe that he or she intentionally makes or has intentionally make