Microsoft Word - 1_Company Account 3-%0@ˆ5"ˇ_@˙%5H"ˇA˙%_20211124 - kdraft V2.docx 1 Application for Registration / Change of Information in Company Account Date
; (2) Confirmation statement; (3) The evidence of margin call in the case where the derivatives broker calls for a customer to deposit additional margin; (4) Account of derivatives trading of each
(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
such a way as to take advantage of an outsider or disclose such information to be utilized by other persons. Division 2 Opening of the Securities Trading Account and Acting as the Securities Broker
Securities Trading Account and Acting as the Securities Broker Clause 15. In this division, “securities company” means a company licensed to undertake securities business in the category of securities
Trading Account and Acting as the Derivatives Broker --------------------------------------- Clause 16. 11 In acting as derivatives broker, derivatives broker shall enter into a written contract with the
the first available opportunity; (4) in cases where a client’s trading account is suspended in accordance with the criteria of the intermediary, such information shall be revised and updated completely
Trading Account and Acting as the Derivatives Broker --------------------------------------- Clause 16.11 In acting as derivatives broker, derivatives broker shall enter into a written contract with the