is unable to comply with terms specified in clause 7/2, the company shall proceed and complete its amendment at the earliest occasion, provided that it shall take into account the best interests of its
custody of clients’ assets shall be made in writing. Such contract shall have a prohibition of an appointment of a sub-agent, and indicate terms and conditions relating to the responsibility of the agent
under Clause 21: (1) terms regarding the securities to be lent out and collateral shall include the following details: (a) the lender has to transfer the securities without preferential right or any
, structures, products or variables and terms of the derivatives; (2) benefits or returns to be received by the client from entering into a derivatives contract, potential earnings or loss, including details of
management of the service provider in the foreign country; (3) criteria for reviewing and changing a service provider; (4) guidelines for subcontracting the outsourced function by the service provider to
client to acknowledge the result of the client ’s categorization, rights, restrictions and risk level, including right to request for changing categorization to be treated as retail investor. Clause 34 For
Securities and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically define the terms
categorized type of the client , the intermediary shall notify the client to acknowledge the result of the client ’s categorization, rights, restrictions and risk level, including right to request for changing
means short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or
prevent risk from changing of price or value of assets or liability, an obligation binding or going to bind in the future by derivatives broker. Such trading shall be made through off-exchange with a