exercises effective control in relation to the customer’s account or transactions; (5) “suspicious transaction” means suspicious transactions to be reported under anti-money laundering legislations; (6) “anti
reasonably suspicious circumstance not to identify the real client or beneficial owner, the intermediary shall deny to provide any service. Clause 33 For the purpose of categorizing type of a client , an
client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is reasonably suspicious circumstance not to
appraising, it shall adjust such items to demonstrate total. If total result in loss, it shall demonstrate the amount of cash in the parenthesis. 1.4 Gain (loss) on Derivatives trading means gain or loss on
Office; (3) calculate the market prices of derivatives held by a client including any profit or loss from positions on derivatives in order to adjust the margin value of the client at least at closing time
manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the
evaluation shall be reported to the Board or the assigned working group periodically as deemed appropriate. The evaluator as such may be insiders or outsiders of companies. 8.4 In order to adjust the BCP to be
Clause 6 and Clause 6/1 has been complied with the specified regulations, but there is a certain fact appeared to the SEC Office which is reasonably suspicious that the management company may not be able
issued shares due to a significant suspicious ground regarding management mechanism in any of the following manners: 1. having a possibility to be unable to treat shareholders fairly by giving benefits to