Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
Exchange Commission, which were effective prior to the effective date of this Notification, shall remain in full force and effect to the extent that they are not inconsistent with nor contrary to the
and effect to the extent that they are not inconsistent with nor contrary to the provisions of this Notification until the Notifications, orders and circular letters issued under or providing guidelines
causes a movement or change in the client’s assets under custody of such securities company or in cases under the second paragraph. In cases where it appears that a client does not have any transaction
last business day of each month to the client within the fifth business day of the following month, except the month where no transaction causes a movement or change in the client’s assets under custody
For the period of nine months Movement for the third quarter Movement for the period of nine months 2020 2019 2020 2019 Increase (decrease) % Increase (decrease) % Producer and distributor of ready-to
the period of six months Movement for the second quarter Movement for the period of six months 2021 2020 2021 2020 Increase (decrease) % Increase (decrease) % Producer and distributor of ready-to-drink
For the period of nine months Movement for the third quarter Movement for the period of nine months 2021 2020 2021 2020 Increase (decrease) % Increase (decrease) % Producer and distributor of ready-to
second quarter For the period of six months Movement for the second quarter Movement for the period of six months 2022 2021 2022 2021 Increase (decrease) % Increase (decrease) % Producer and distributor of