contracts. “insurance” means the professional indemtity insurance. Chapter 1 Calculation and Reporting of Maintenance of Capital Division 1 Liquid Assets and Insurance Used for Maintenance of Capital Clause 4
, finance business, credit foncier business; (b) securities business; (c) derivatives business; (d) insurance business; (e) government financial institution established under specific law; Chapter 1
on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets , whether for the purpose of keeping, purchasing, selling, borrowing or
on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets, whether for the purpose of keeping, purchasing, selling, borrowing or
Commission concerning the Calculation of Offered Price of Securities and the Determination of Market Price for Consideration of Offer for sale of Newly Issued Shares Being below Market Price. Chapter 1 General
Office of the Securities and Exchange Commission. CHAPTER I General Provisions Clause 4. A securities company, which custody client’s assets notwithstanding for the benefit of keeping, purchase, sale
and Exchange Commission. CHAPTER I General Provisions (Translation) -2- Clause 4. A securities company, which custody client’s assets notwithstanding for the benefit of keeping, purchase, sale
” means an investment advice given to any person that suitable to investment objective, financial status or need of such person; “Office” means The Office of the Securities and Exchange Commission. Chapter
given to any person that suitable to investment objective, financial status or need of such person; “Office” means The Office of the Securities and Exchange Commission. Chapter 1 Operation Control Clause