points of the amendments are summarized accordingly: (1) Market Misconduct: categorizing the characteristics of misconduct to be clearer and applicable to wrongful acts of different natures, into four
and their subsidiaries for the previous accounting period , on a quarterly basis and the year-end period, categorizing as: the auditors giving opinion on the financial statements (signing partners), the
their subsidiaries for the previous accounting period, on a quarterly basis and the year-end period, categorizing as: the auditors giving opinion on the financial statements (signing partners), the
department on time. When categorizing the transactions into reclassify and adjustment transactions, which are transactions that have an impact on the net income, the reclassify and adjustment transactions are
the environment. In addition, the Company will also continue to refresh its product portfolio including categorizing the current product group, redesigning packaging, and new product development in
information for the following purposes prior to providing services: (1) knowing the client ; (2) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of
of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is
of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association1, with an approval of the SEC Office, except that the intermediary which is
) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of capital market products ; (4) considering ability of the client to perform in respect of servicing
) categorizing type of the client; (3) assessing suitability for investment in or entering into a transaction of 13 capital market products; (4) considering ability of the client to perform in respect of servicing