date of the complaint received. And if the derivatives broker has not yet finished its solution to the complaint, a progress report shall be delivered to the Office every thirty days until the
complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress
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
compliance finished or in the necessary case for compliance in the long period, it should change password in every three months etc. · In case of non compliance in front of computer’s screen, it shall have a
complaint has not yet been finished within such period, the securities company shall maintain records of such action until all complaint handling procedures are completed. In cases where giving of advice
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
. However, in the case where there is a complaint on the advise, trading instruction or negotiation and the case of the complaint has not yet been finished within such period, the securities company shall
servicing agreement, the intermediary shall refuse to provide any service or limit scope of providing services. Clause 37 An intermediary shall review or adjust received information as prescribed in Clause 31