deadlines and allows business operators and regulated companies to request additional extension for the SEC’s consideration on a case-by-case basis. The details are as follows: 1. Securities companies
upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities company shall segregate assets under its custody as assets of clients in not less than the following amount: (1) Money: the
and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities
determine the currency conversion, as well as the basis for that determination. 7. Where not all of the debt securities being offered are guaranteed, provide a statement for a non-guaranteed portion. B
document of the latest two years must be available for the Office’s request or inspection. Chapter 2 Securities Trading Clause 9. Securities company shall notify its counter trader whether such offering
request or inspection. Chapter 2 Securities Trading Clause 9. Securities company shall notify its counter trader whether such offering price is a firm quotation or an indicative quotation. Clause 10. In
it for at least five years as from the trading date, of which evidence and document of the latest two years must be available for the Office’s request or inspection. Chapter 2 Securities Trading Clause
results in the future (if any); (5) in the case of a guaranteed fund, a summary of important details of a draft guarantee agreement, the financial status and operating results of the guarantor at least over
interest rate or floating interest rate; (3) in case of accepted, aval, endorsed, or guaranteed debt instruments, such acceptance shall be unqualified, aval shall be given as to the whole amount, endorsement