period ends; (b) prohibition of using subscription money in excess of the total amount expected to obtain from the offering for any other business before returning money to unallocated subscribers
subscribers’ rights to receive interest at the rate of not less than seven point five percent per annum from the date after such period ends; (b) prohibition of using subscription money in excess of the total
exceeds the due amount and the securities company has already returned the excess money to the client within five working days from the date of receipt of such money; (c) money received from securities sale
securities purchase transactions; (b) money paid by a client for securities purchase transactions which exceeds the due amount and the securities company has already returned the excess money to the client
15,080 9,296 10,608 8,505 Doubtful of loss 53,718 53,837 65,092 28,969 30,188 41,044 Total 2,035,802 2,088,784 1,983,362 58,576 58,620 71,288 Add Excess allowance for doubtful accounts 93,476 88,968 73,268
investment for the client , the intermediary shall provide a system for controlling the client ’s assets to prevent being lost, damaged and unlawful exploitation; (10) having compliance system in accordance
information, which restricts access to such information on a need-to-know basis and prevents unlawful use of such information; (2) a system for management and storage of data, documents or relevant evidence
system to protect clients’ information, particularly trading information, which restricts access to such information on a need-to-know basis and prevents unlawful use of such information; (2) a system for