derivatives broker’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other contingent liabilities which require payment by
help ease procedures for approval and renewal of approval which is expected to result in increasing number of personnel to be sufficient for market demand.The revised regulations require investor contact
companies If the Company has subsidiaries or associated companies, the following information shall be disclosed: (1) Policy on operational organization within the group of companies; (2) Shareholding diagram
structure of the group of companies If the Company has subsidiaries or associated companies, the following information shall be disclosed: (1) Policy on operational organization within the group of companies
disclosed, the holders of the securities who have purchased the securities within one year from the effective date of the Registration Statement are entitled to claim damages from the issuer or the owner of
case that the Company consists of subsidiaries or affiliates, the following information is required: - Policy on operational organization within the group of companies; - Shareholding diagram of the
system for controlling and preventing the use of inside information between its work units and personnel clearly: (a) the period where the intermediary prepares a report on securities analysis ; (b) within
proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business: (1) risk management system; (2) investment control system; (3) system for preventing access to inside information