Showing 1 - 7 results of 7 for search 'SECURITIES REGULATIONS', query time: 2.08s Refine Results
  1. 1
    by Hsin-Pei Shen, 申心蓓
    Published 2017
    ... regulations regarding conflicts of interest and/or duty of royalty applicable to intermediaries, the relevant...
    Get full text
    Others
  2. 2
  3. 3
    by Yui-Chun Wu, 吳裕群
    Published 2005
    ... and risk management The securities firms must comply with the laws and regulations under the policy...
    Get full text
    Others
  4. 4
    by Hui-Fen Su, 蘇慧芬
    Published 2010
    ... rules of securities and FCMs, and the conduct regulation of responsible persons and representatives...
    Get full text
    Others
  5. 5
    by 張菀悅
    Published 1995
    .... We should evaluate its effect on the domestic banking and securities services, by analyzing...
    Get full text
    Others
  6. 6
    by Huang-Chi Wu, 吳皇旗
    Published 2014
    ... industries in financial service area in Taiwan. With similar regulations, Taiwanese FCMs are with better...
    Get full text
    Others
  7. 7
    by Kuan-Liang Tsao, 曹冠亮
    Published 2015
    ... regulation, consumer protection and information security and many other issues, so Europe and China and other...
    Get full text
    Others