Custody of Assets of Clients by Licensed Derivatives Brokers
Custody of Clients’ Assets by Securities Companies (Codified)
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
substitution by Automation. Substitution. For production costs, it was as value as last year, due to businesses made forward contracts with material source, and imported raw material and goods were lower value
Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets
Rules, Conditions and Procedures for Approval Concerning Registration of Client’s Assets (No. 2)
Custody of Assets of Clients by Licensed Derivatives Brokers (No. 3)
Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order