exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse
accruing from the assets under (a) to (c), for example, right to dividend or interest, right to purchase capital increase shares and right to attend and vote at a meeting of securities holders, etc. (2
] · Determining clearly the person to responsible for specifying, altering or changing the other value of parameter of the program system. [M] 5. Management and inspection of network · Segregating the network
management company/the mutual fund supervisor at least within 15 days before the date of changing of the management company/the mutual fund supervisor 2. In the case of a private fund, the management company
offering; (b) change in par value resulting in an increase or decrease in the amount of shares; (c) redemption of securities; (d) amalgamation, merger or takeover by making a tender offer; (e) distribution
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
increase or decrease in the number of shares; (c) redemption of securities; (d) amalgamation, merger or takeover by making a tender offer; (e) distribution of share dividends; (f) conversion of securities
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
managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any
effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system