information. In this respect, if such work is related to the accounts and finances of clients, the operator shall be affiliated company or auditing firm; (7) client registration; (8) back office operation after
, that are, those who have trading accounts and transactions with the securities underwriter prior to this offering and those who have not, showing the number of allocated persons, the amount and value of
position as director, employee, or patron of the issuer. (b) prepare a summary report of securities allotment categorized by client groups, that are, those who have trading accounts and transactions with the
cash accounts and margin accounts of all clients after deducting money deposited as collateral for securities borrowing for making a short sale of each client at the rate agreed upon by the securities
total amount of the net balance calculated at the end of the prior working day or at the end of the present working day from cash accounts and margin accounts of all clients after deducting money
as well as the contacted person as an evidence. The money in which the employer should deliver to the fund comprises of (a.1) saving and contribution payable to the fund (a.2) employer’s surcharge
) saving and contribution payable to the fund (a.2) employer’s surcharge where the employer remits the money into the fund late (b) Having adequate system and measures to control correctness of the date of
cases where the investment made by the mutual fund in securities listed on said stock exchange accounts for more than 10% of the net asset value of the mutual fund; (b) there is an event that makes it