Provisions Clause 3 This Notification is applicable to an offer for sale of newly issued bonds to investors in foreign countries. In this regard, the interest payable and redemption under such bonds shall be
, 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 shares
, 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 securities
a summary report of securities allotment categorized by client groups, that are, those who have trading accounts and transactions with the securities underwriter prior to this offering and those who
accounts and finances of clients, the operator shall be affiliated company or auditing firm; (7) client registration; (8) back office operation after trading of securities or derivatives; (9) back office
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