such transaction is proceed by derivatives broker for client’s benefit. In cases where bank deposits or promissory notes in the first paragraph are pay-to-maturity, such bank deposits or promissory notes
, clearly specified that such transaction is proceed by derivatives broker for client’s benefit. In cases where bank deposits or promissory notes in the first paragraph are pay-to-maturity, such bank deposits
derivatives broker for client’s benefit. In cases where bank deposits or promissory notes in the first paragraph are pay-to-maturity, such bank deposits or promissory notes shall not have any restriction to
4 Any association related to securities business shall not open a branch office unless granted an approval by the SEC Office. Clause 5 In the case where the license of an association related to
4 Any association related to securities business shall not open a branch office unless granted an approval by the SEC Office. 2 Clause 5 In the case where the license of an association related to
restriction /suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money
services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering legislations, or where the know-your-client
/suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering
where such major shareholder is a legal entity, its director, manager and partner also shall not have any of such prohibited characteristics. In case of application for derivatives business license type