SEC, prepare and keep account of such advances. The item and amount of asset as indicated in the account under the first and second paragraph are presumed to be correct, unless proven otherwise.

every days. Clause 4. Unless otherwise prescribed in Clause 6, the securities company shall open on different hours and days as indicated in Clause 3(1) within the following rules: (1) in case of

and lending (SBL); “Central securities depository” means any central securities depository under the law on securities and exchange; “Depositor” means a person approved by the central securities

derivatives position, the amount of the initial margin and maintenance margin for such position by contract shall be indicated; (2) The market price of derivatives contract at the end of business day; (3) The

according to the guidelines under (1) as well. If the holding company operates business of various types with a central company performing the role of managing subsidiaries or associated companies in each

of an intermediary ’s service and shall include fund , unitholder or member of the provident fund; “ fund ” means a mutual fund, private fund and provident fund; “ central utility function ” means a

any derivatives position, the amount of the initial margin or the maintenance margin for such position by contract shall be indicated; (2) the market price of derivatives contract at the market closing

scope and description of delegated responsibilities of each position (job description). *** The number of experience years may be indicated in periods of time. **** For example, the Audit Firm has 3

securities underwriting in accordance with the procedures indicated in a prospectus. Clause 5. A securities underwriter shall not subscribe for securities of which it makes underwriting. Clause 6. Subject to

. Clause 4 A securities underwriter shall make securities underwriting in accordance with procedures indicated in a prospectus. Clause 5 A securities underwriter shall not subscribe for securities of which