Custody of Clients’ Assets by Securities Companies (No. 4)
Custody of Assets of Clients by Licensed Derivatives Brokers
Custody of Clients’ Assets by Securities Companies (Codified)
assets (if any). In cases where the information under Paragraph 1 changes significantly, the securities company shall inform its clients of such change without delay; (2) inform its clients that in cases
). In cases where the information under Paragraph 1 changes significantly, the securities company shall inform its clients of such change without delay; (2) inform its clients that in cases where the
of identical written form and one of which shall be given to clients as evidence. In cases where the service contract of securities registrar is lost or damaged and clients request the securities
following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a
shall be revised and updated at least every year. (2) in cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is
every year. (2) in cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is inaccurate or inexact, such information