securities and derivatives business. Accordingly, investors will be protected in that their investment money will be segregated from that of the business operators while investments will be handled and
board of directors has not unanimously approved the regulations, the number of dissenting directors shall be indicated and the conclusion of dissenting opinions shall also be included; (3) opinions of the
of this amendment is to ensure that customer complaints are handled appropriately, especially in the case where the operator failed to comply with relevant regulations. It also aims to ensure that
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
handled by qualified investor contacts to better investors? understanding on the products, providing that adequate number of such investor contacts is also critical. The SEC advice on the development is
criteria set by institutional investors; for instance, GPF and AIMC that TIA will exercise dissenting votes in the significant agenda; for instance, the agenda proposed in the meeting or having auditor?s
effective and appropriate risk management and an internal control system in compliance with the applicable laws, and ensure that conflicts of interest are effectively dealt with and complaints are handled