Securities and Exchange Commission concerning Determination of Additional Types of Juristic Person Classified as Institutional Investor . Chapter 1 Registration _____________ Division 1 Types of Juristic
Exchange Commission concerning Determination of Additional Types of Juristic Person Classified as Institutional Investor. Chapter 1 Registration _____________ Division 1 Types of Juristic Rerson and
transfer to the client’s margin account and record as additional money or listed securities deposited by the client, as agreed upon with the client; (4) 1011 determine the types of asset which the client may
the order of the Office or fails to do so under Clause 6; (2) does not pay for the fee or additional fees as specified under Clause 9; (3) violates or fails to comply with the rules, conditions and
fails to do so under Clause 6; (2) does not pay for the fee or additional fees as specified under Clause 9; (3) violates or fails to comply with the rules, conditions and procedure for providing services
registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and
additional documents or evidence as seen appropriate within a period of time as specified by the SEC Office. If the applicant fails to comply or proceed within such period, the SEC Office shall consider that
increased in commission and employee expenses which those were in line with the increase in sales. -3- Administrative Expenses of Q1–2019 decreased from Q4–2018, mainly because the additional allowance for