, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any
guidelines specified for implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification
this notification and its guidelines specified for implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails
implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification or its guidelines specified
4 Any association related to securities business shall not open a branch office unless granted an approval by the SEC Office. Clause 5 In the case where the license of an association related to
4 Any association related to securities business shall not open a branch office unless granted an approval by the SEC Office. 2 Clause 5 In the case where the license of an association related to
examine the operation of such branch office. (Unofficial Translation) 2 In case where no person is responsible for the operation of branch office under the first paragraph or such person is unable to