reports even though there is no transaction during such period. Clause 3/14. In case where securities companies wish to file the reports under clause 3 to the Office in the form of electronic data, the

though there is no transaction during such period. Clause 3/14. In case where securities companies wish to file the reports under clause 3 to the Office in the form of electronic data, the securities

submit any necessary document or report in the interest of the consideration of the derivatives broker ’s ability to maintain its net capital during such period as it deems appropriate. Clause 3 A

the derivatives broker under Paragraph 1 to submit any necessary document or report in the interest of the consideration of the derivatives broker’s ability to maintain its net capital during such

Paragraph 1 to submit any necessary document or report in the interest of the consideration of the derivatives broker’s ability to maintain its net capital during such period as it deems appropriate. Clause 3

Clause 9 shall be made in continuation of the time during which such person used to receive training under relevant notifications. If such person has been authorized, approved or registered under more than

transaction date, the margin call date, or the release date of such analysis report or article to customers, as the case may be, and shall be readily accessible or open to inspection by the Office during the

relating to securities offering which is not a registration statement or draft prospectus during the period from fifteen days prior to the first offering date to the offering closing date or the date of

registration statement or draft prospectus during the period from fifteen days prior to the first offering date to the offering closing date or the date of providing over-allotment shares in full, as the case

financial statements for the year ended December 31, 2018) and when combining with assets disposition during the past 6 months, total size of transaction is equal to 12.95% which is lower than 15% of the