for the purpose of custody, or purchasing or selling, or borrowing or lending securities, or securing securities purchase or sale or borrowing or lending, or for any other purposes as specified by the
this Notification by the seventh day of the following month. (3) Report on clients’ assets: Any securities company that provides a custodian service for assets of its clients, whether for the purpose of
statement for futures trading that contain the minimum aspect of disclosure prescribed by the SEC Office. Hence, for the purpose of providing the derivatives broker with guideline for preparing a risk
that contain the minimum aspect of disclosure prescribed by the SEC Office. Hence, for the purpose of providing the derivatives broker with guideline for preparing a risk disclosure statement for futures
total shares with voting rights of the applicant. For the purpose of the first paragraph, a beneficial owner of shares means the beneficial owner of shares pursuant to the fourth paragraph of Section 25
amount exceeding ten percent of the total shares with voting rights of the applicant. For the purpose of the first paragraph, a beneficial owner of shares means the beneficial owner of shares pursuant to
securities company under the first paragraph to submit any necessary document or report within the appropriate period for the purpose of considering the ability to maintain net capital [and net capital ratio
submit any necessary document or report within the appropriate period for the purpose of considering the ability to maintain net capital [and net capital ratio] of the securities company. Clause 5 This