referring to certain services of the securities firms; for instance personal loan. In such cases, the securities firms were notified that the transferred money was deposited for clients? accounts while the
custodian agent can perform its duties as designated in accordance with the Notification of the Office Re: Rules, Conditions and Procedures on Handling of Customer’s Assets Deposited with Custodian. Clause 3
) 16/01/2005 Notification of the Office of the Securities and Exchange Commission SorThor. 25/2550 Re: Prescription of the Rate or Value of Property Deposited as Margins 31/08/2007 16/09/2007
Notification of the Office of the Securities and Exchange Commission SorThor. 25/2550 Re: Prescription of the Rate or Value of Property Deposited as Margins 31/08/2007 16/09/2007 Contact The Securities and
the unitholders or posted on the trustee’s web site, and when the money or assets have been deposited with the Deposit of Property Office. The consultation paper is available at the SEC web site
deposited with other securities companies or deposited with the securities depository. Clause 3. A securities company may undertake short sales for itself or for a customer only in the following cases: (1
deposited with other securities companies or deposited with the securities depository. (Translation) - 2 - Clause 3. A securities company may undertake short sales for itself or for a customer only in the
derivatives broker; (2) “ derivatives exchange ” means any derivatives exchange licensed by the Securities and Exchange Commission; (3) “ initial margin ” means the minimum amount of asset to be deposited by a
derivatives broker; (2) “derivatives exchange” means any derivatives exchange licensed by the Securities and Exchange Commission; (3) “initial margin” means the minimum amount of asset to be deposited by a