instruments and investment units; “Securities company” means a company licensed to undertake securities business in the category of securities brokerage or securities dealing excluding a person licensed to
broker shall have examination system to ensure that the person order derivatives broker to proceed with the customer property is the actual owner of the account or is the person who is authorized in
Office immediately in case an oversea branch office was sanctioned or given an order to act or omit to act, by foreign capital market regulator or foreign authority of the country where such branch office
examined by the SEC Office. (4) report to the SEC Office immediately in case an oversea branch office was sanctioned or given an order to act or omit to act, by foreign capital market regulator or foreign
to be open on different hours or close on different days. Therefore, in order to clarify rules on granting permission to a management company to establish a branch office together with serving
) (Translation) ” means a contract whereby a person, called a settlor, transfers or creates real right or any right appertaining to property to or for another person, called a trustee, with trust and confidence in