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
shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain
operation system shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment
customer’s knowledge and understanding, branch mentioned in the complaint, type of securities commonly named in the complaint, and amount of time the operator spent to resolve the problems, etc., will be
the customer’s counterparty information for anti‑money‑laundering (AML) verification and related risk‑management purposes, and to retain information accompanying all digital‑asset transfer
listed securities to be deposited by a client as collateral for purchasing securities, or a client’s excessive assets held in a margin account in proportion to the purchasing value of any securities prior
equitable treatment to clients; (3) the derivatives broker shall maintain each client’s confidential information and refrain from disclosing personal information, information on trading of derivatives, or a
best interests of clients; (2) the derivatives broker shall give equitable treatment to clients; (3) the derivatives broker shall maintain each client’s confidential information and refrain from