every year. (2) in cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is inaccurate or inexact, such information
following cases: (1) the public offering of newly issued bonds denominated in foreign currency shall be in accordance with the criteria set out under Part 2; (2) the private placement of newly issued bonds
comply with the governing regulations, describe rectifying measures and compliance guidelines as well. 1.4 Relationship with major shareholders’ business In cases where the Company or the group of
abet the others in connection with such behavior. Part 2 Effectiveness of the Possession of Prohibited Characteristics __________________ Clause 7. In cases where the applicant for approval of capital
assets (if any). In cases where the information under Paragraph 1 changes significantly, the securities company shall inform its clients of such change without delay; (2) inform its clients that in cases
). In cases where the information under Paragraph 1 changes significantly, the securities company shall inform its clients of such change without delay; (2) inform its clients that in cases where the
(confirmation statement); (3) evidence of margin call in cases where the derivatives broker calls for a customer to deposit additional margin; (4) account of derivatives trading of each customer. A derivatives