having client’s asset custody or acting as a representative of such asset custody for a business operator who engages in other business activities and distinctly segregates its assets from those in its
take the following action: (a) In the case of sale of investment units: 1. The mutual fund management company shall reduce the number of investment units of each relevant investment unit buyer in a
inaccurate or inexact, such information shall be revised and updated immediately; (3) in cases where any client cannot be contacted for the purpose of revising and updating the client’s information under
shall be revised and updated immediately; (3) in cases where any client cannot be contacted for the purpose of revising and updating the client’s information under subclause (1), such information shall be
institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired
the person controlling securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail
such units from foreign exchange for making delivery; (2) in case of short selling for client’s account: (a) the client shall demonstrate that it has [i] the enabling asset to be exchanged for ETF units
units by means of purchasing such units from foreign exchange for making delivery; (2) in case of short selling for client’s account: (a) the client shall demonstrate that it has [i] the enabling asset to