proceeding power ” means an official receiver and the SEC Office. “client asset account ” means an account of a client’s assets prepared by an intermediary in accordance with the law on derivatives or the law
, periods and conditions: (1) reports on financial and non-financial pursuant to Clause 7 (1) shall be prepared and submitted to the SEC Office in accordance with the rules provided under Part 2 and within
the use of prepared electronic devices which such devices are connected to computer or electronic systems of the head office; “Office” means the Office of the Securities and Exchange Commission. Clause
the use of prepared electronic devices which such devices are connected to computer or electronic systems of the head office; (Unofficial Translation) 2 “Office” means the Office of the Securities and
securities analysis ” means an article or research paper which is prepared by a securities company to give advice to investors, directly or indirectly, on the value of securities, the suitability of investment
analysis” means an article or research paper which is prepared by a securities company to give advice to investors, directly or indirectly, on the value of securities, the suitability of investment related
; 2. system for auditing and verifying foreign securities deposited with foreign custodians against the entries in the account prepared by the applicant; 3. system for administering, dealing, and
personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the keeping of documents and evidences to be prepared for or used in
of the personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the keeping of documents and evidences to be prepared