institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired
the person controlling securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail
units or underlying shares of ETF for either its proprietary account or client’s account on the condition that it is the following cases: (1) being short selling by which borrowing such securities for
may engage in short selling of ETF units or underlying shares of ETF for either its proprietary account or client’s account on the condition that it is the following cases: (1) being short selling by
or client’s account on the condition that it is the following cases: (1) being short selling by which borrowing such securities for delivering is required according to the Notification of the Capital
contract for hedging the risk of client on the condition that such dealer has a risk profile opposite a client’s hedged risks at the time of contracting, or the derivatives would be able to significantly
hedging the risk of client on the condition that such dealer has a risk profile opposite a client’s hedged risks at the time of contracting, or the derivatives would be able to significantly decrease or
increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to