general liabilities and collateral except in case of (2); (2) the derivatives broker under (1) which has all of the following characteristics shall maintain the net capital as at the end of any business day
have duty to file the reports under (2) or (3) with the Office shall file such reports even though there is no transaction during such period. Clause 3/1 . In case where securities companies wish to file
reports even though there is no transaction during such period. Clause 3/14. In case where securities companies wish to file the reports under clause 3 to the Office in the form of electronic data, the
though there is no transaction during such period. Clause 3/14. In case where securities companies wish to file the reports under clause 3 to the Office in the form of electronic data, the securities
)…….……....................client/authorized person (..............................………) For and on behalf of the ...............................................Company (In case of juristic person)
...............................................Company (In case of juristic person)
board to be in charge of the implementation of the business continuity management policy. In case of any material amendment, change or modification to the business continuity plan, the securities company
the board of directors or a working committee appointed by the board to be in charge of the implementation of the business continuity management policy. In case of any material amendment, change or