and ready to be examined and submitted upon request by the SEC Office. Clause 5. In case it is shown that any securities company have net liquid capital at the end of any day equal or less than 1.5
submit any necessary document or report in the interest of the consideration of the derivatives broker ’s ability to maintain its net capital during such period as it deems appropriate. Clause 3 A
period as it deems appropriate. Clause 3 A derivatives broker shall not reduce its paid-up capital to the extent that its shareholders’ equity is decreased unless permission is granted by the SEC. Clause 4
Paragraph 1 to submit any necessary document or report in the interest of the consideration of the derivatives broker’s ability to maintain its net capital during such period as it deems appropriate. Clause 3
company has complied with the provision in clause 7, it shall be deemed that the management company has waived from the Office as provided in Section 98(7)(b). Clause 11. Management company shall provide
company, if management company has complied with the provision in clause 7, it shall be deemed that the management company has waived from the Office as provided in Section 98(7)(b). Clause 11. Management
and executing of customer’s derivatives trading order, containing at least the details of transactions executed by it for the customer from the time the order is taken until the transaction is completed
of the REIT; (2) in case it is underwriting for the benefit of the parent company or the subsidiary company of the securities underwriter where the company wishes to distribute the held REIT units
) in case it is underwriting for the benefit of the parent company or the subsidiary company of the securities underwriter where the company wishes to distribute the held REIT units. Clause 4 A
. (UNOFFICIAL TRANSLATION) 2 (2) In respect to the following cases, it shall be deemed that a derivatives business operator has already obtained an approval from the SEC Office for the appointment of its director