benefits from investors by abusing their duty performance no matter with or without clients? consent, and must not ask for or accept any special benefit other than what is properly earned from the securities
of Signatory A, or [ii] which is responsible for regulating securities or derivatives activities and agree with the SEC Office on memorandum of understanding concerning consultation and cooperation and
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
. (2) the client gives consent to the intermediary for temporarily suspending services as derivatives agent, closing a trading account, limiting positions or trading volume, closing out the positions or
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
act which results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or
, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person authorized in writing from the
personal data to other persons, the SEC Office complies with the specified purposes or the purposes permissible by law only. In the case where it is required by law that your consent must first be obtained
purposes or the purposes permissible by law only. In the case where it is required by law that your consent must first be obtained, the SEC Office shall request your consent. In this regard, the SEC Office