daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
) receivables of securities purchased to order; (6) margin loan receivables and securties borrowing receivables; (7) collateral receivables; (8) any other asset as stipulted by the SEC Office. “ general
) receivables of securities purchased to order; (6) margin loan receivables and securties borrowing receivables; (7) collateral receivables; (8) any other asset as stipulted by the SEC Office. “general
virtue of the third paragraph of Clause 3 of the Notification of the Securities and Exchange Commission No. KorThor. 18/2549 Re: Maintenance of Net Liquid Capital dated 2 May 2006, the Office of the
paragraph of Clause 3 of the Notification of the Securities and Exchange Commission No. KorThor. 18/2549 Re: Maintenance of Net Liquid Capital dated 2 May 2006, the Office of the Securities and Exchange
Clause 3 of the Notification of the Securities and Exchange Commission No. KorThor. 18/2549 Re: Maintenance of Net Liquid Capital dated 2 May 2006, the Office of the Securities and Exchange Commission
. An applicant shall submit an application and supplementary documents to the SEC Office in accordance with the format and procedures specified in the electronic work system of the SEC Office. Clause 5