instruments; (5) receivables of securities purchased to order; (6) margin loan receivables and securties borrowing receivables; (7) collateral receivables; (8) any other asset as stipulted by the SEC Office. 2
(“MRF-eligible master fund”), respectively. In this regard, an MRF-eligible master fund is deemed to have complied with the rules specified by each regulator2. In order for business operators to be able
, the securities company shall notify the Office without delay. In this regard, the Office may order the securities company to appoint an independent director or to follow the rules stipulated in this
with the rules specified in Clause 4, the securities company shall notify the Office without delay. In this regard, the Office may order the securities company to appoint an independent director or to
. Maintenance of status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and
status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and knowledge based on
derivatives broker according to this Notification or it appears that such trading is done in an inappropriate manner, the Office may order such derivatives broker to rectify, undertake, or refrain from