Clarification on Short Selling and Settlement of Securities for Management of Market Maker’s Risks Borne by Securities Companies and Management of Clients’ Assets In case of Internal Short.
disqualification to leave the company. Clause 5. The securities company shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit
arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit; (2) A securities operation unit, the securities company may arrange
disqualification to leave the company. Clause 5. The derivatives broker shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A derivatives services unit
executive or personnel who rendered the company into such disqualification to leave the company. Clause 5. The derivatives broker shall arrange for the full-service branch office to have a branch office
on internal control and risk management related to SBL business which has been previously set in writing and approved by the board of directors of the business operator; (2) arrange to have in place a
26 May 1999. (Translation) -2- Clause 3. The business operator, whether acting as the borrower or its agent, shall not borrow or arrange to borrowing for the purpose of selling to the offeror in a
internal guidelines on internal control and risk management related to SBL business which has been previously set in writing and approved by the board of directors of the business operator; (2) arrange to