company as its representative in accordance with Section 100, with the SEC Office’s approval. Clause 2 A securities company shall proceed with a customer complaint as follows: (1) manage to have a customer

” means a person who entrusts a securities company to undertake the purchase and sales of securities on his/her behalf; “institutional customer” means a commercial bank or finance company or securities

regarding complaint handling and entering into the Office’s arbitration process for the settlement of dispute between the securities company and the customer. In the case where the securities company lacks of

any companies as assets of a private fund, and the customer authorizes such private fund management company to exercise the voting rights in such company on his behalf, the private fund management

laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC

Statement for Futures Trading. Date……………………….. The …………...…………………….. company, a derivatives broker, hereby certifies that Mr./Mrs./Miss…………………………. who works for the company has explained to the customer, Mr

opinion; “collateral” means a collateral for compensation of damage to a customer arising from incorrect or incomplete performance of duties of the investment advisory company, i.e. : (a) insurance policy

deposit on behalf of company for a customer (xxx) (xxx) total cash and cash equivalents xxx xxx 4.2 Long-term deposits at financial institution It shall disclose the following details: 20.. 20.. fixed

past three years is no longer required in this annual registration statement. However, if the Company relies on any customer or supplier who has a significant influence on the survival of the Company

each period of time. Remark : If the Company relies on any customer or supplier who has a significant influence on the survival of the Company, such information shall be disclosed as a risk factor. Any