records and its disclosure of liabilities in the financial statements as previously reported in the application for business rehabilitation. The results of the special audit must be disclosed within 30
orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such
that he notified his clients of trading orders at night and failed to keep records of all clients' trading orders. Conversations between {A} and the clients found on the records also indicated the
amounts of the interests were recorded as income in the GLH’s financial statements, which was considered fabrication of accounting records and exaggeration of GL operating results. Mr. Konoshita’s
intermediaries shall comply with those Notifications as well. Clause 9 In revising and updating client information within a reasonable period of time under Clause 37 of the Notification on Standard Conduct of
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
software; (2) preventive and detective controls of the use of unauthorized software and known or suspected malicious websites; (3) installation and regular update of malware detection software, as well as
borrowers, and remained vigilant on risks. Meanwhile, we mainly targeted borrowers with good track records, as well as existing low-risk customers. 2.2 Market Risk Management Economic and political
notifies us in advance as deemed appropriate before such revision becomes effective, we agree to abide by the revised Standard Procedures or the Manuals as well. 1 . 2 We acknowledge and agree that upon