of interest. In the case where an executive holds a position required to work on a full-time basis, the executive shall take such position at only one securities company. Clause 3. In applying for
of interest. In the case where an executive holds a position required to work on a full- time basis, the executive shall take such position at only one securities company. Clause 3. In applying for
which does not cause conflicts of interest or provision of an effective measure to prevent such conflicts of interest. In the case where an executive holds a position required to work on a full- time
2025, as requested by derivatives brokers on the previous business day, from doing so within the specified timeframe. In such case, derivatives brokers must follow up with their clients to ensure that
October 2018 and on 13 November 2018 (five business days in total). According to the investigation, it was discovered that, at the time of such wrongful acts, the four offenders, holding positions and
reverse stress test. The securities clearing house shall file the report on results of the tests under (1) and (2) with the SEC Office on a quarterly basis within the fifteenth day of the first month of the
Office on a quarterly basis within the fifteenth day of the first month of the following quarter. Clause 5 To ensure that the model or method used in the stress test are appropriate to the current and
), (2) and (8). Clause 6. Those licensed to operate business specified in this Notification shall pay such fees within the time as specified by the Office with the approval of the Securities and Exchange
business operation as per Clause 4(1), (2) and (8). Clause 6. Those licensed to operate business specified in this Notification shall pay such fees within the time as specified by the Office with the