securities company shall keep accurate and up-to-date record of the client’s asset account. In case of amendment of the record, the securities company shall complete the amendment within the same working day
management company within a reasonable period. In this regard, such information must be accurate and up-to-date, present neither misleading, distorted facts, nor material content that differs from such
items in the registration so that the information thereof shall be up-to-date at all times. Clause 6. To assure the conformity with the capital market policy at each particular time, or to enable
shall be up-to-date at all times. Clause 6. To assure the conformity with the capital market policy at each particular time, or to enable investors to clearly understand the selection of appropriate tools
to have evidence related to the derivatives trading and maintain such evidence in complete and up-to-date, including keeping of report or article analyzing value or advisability of trading in
amendment of such information by non-responsible person. Clause 11. Derivatives broker shall arrange to have evidence related to the derivatives trading and maintain such evidence in complete and up-to-date
information, the information to be disclosed shall be correct and up-to-date, and shall not be misleading or otherwise distort the truth. Part 2 Mutual Fund Management ___________________ Clause 7 In this Part
The SEC, having been informed of the progress of the company’s plan for fund raising with the new investors in which a business rehabilitation petition must be filed with the Court, has instructed
its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records