shall conduct the Know Your Client procedure on a continuous basis and update the information on the client, the beneficial owner and the person controlling the derivatives trading, as well as review the

shall contain the information prescribed and notified by the SEC Office at a minimum. Clause 27 The derivatives broker shall conduct the Know Your Client procedure on a continuous basis and update the

shall contain the information prescribed and notified by the SEC Office at a minimum. Clause 27 The derivatives broker shall conduct the Know Your Client procedure on a continuous basis and update the

PO and PP-HNW basis only. (UNOFFICIAL TRANSLATION) Factsheet Information as of [day/month/year] 11 Heading Disclosure of Information Net fees and service income Net profit Loan to deposit ratio Net

advice to the client . A securities company shall conduct the Know-Your-Client & Client Due Diligence on a continual basis. In this regard, the information on a client , the ultimate beneficiary for the

& Client Due Diligence on a continual basis. In this regard, the information on a client, the ultimate beneficiary for the securities trading of the client, and the controlling person over the securities

System of the SEC Office; (2) disclose the information on such transaction on the website of the mutual fund management company on a monthly basis, as well as disclose such information in the report of the

information on such transaction on the website of the mutual fund management company on a monthly basis, as well as disclose such information in the report of the mutual fund for an accounting period, and in

debt obligations. 2. Disclosure of compensation a. Issuer’s directors are on an individual basis; and b. Issuer’s senior managements are on lump sum basis. C. Share Ownership Provide current information

the ratio of one unit of depositary receipts to one unit of foreign securities; (3) the issuer of foreign securities discloses information on a continuous basis to the foreign regulator or the foreign