person, and has no reasonable grounds to be believed that its financial condition has worsened significantly during the course of one year preceding the date when the Office considers the qualifications
securities dealing to submit a report of securities dealing to work unit responsible for post-trade operation within reasonable period of time in order for the securities company to acknowledge and be able to
submit a report of securities dealing to work unit responsible for post-trade operation within reasonable period of time in order for the securities company to acknowledge and be able to report the result
-trade operation within reasonable period of time in order for the securities company to acknowledge and be able to report the result 5 Amended by Notification of the Securities and Exchange Commission No
derivatives trading account, the derivatives broker shall establish a written method and procedure for considering an account opening application. Reasonable processes shall be established to ensure that the
account opening application. Reasonable processes shall be established to ensure that the client is the same person as the one appearing in the documentation in support of the application, and verify the
range of investors; (4) having financial readiness without any reasonable ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5
services or communication which is able to reach a wide range of investors; (4) having financial readiness without any reasonable ground to believe that the financial status may cause damage or any other