securities company shall procure a source for borrowing securities in order to enable delivery of securities in the short sale items within the time period prescribed by the clearing house under the law on

such member in order to make payment to such member within the period prescribed by law and record the operation for using as an evidence 1.2.2 Fund Member Registry and the Allocation of the Contribution

security within the organization in order that operation cross-check is performed for prevention of potential risks, for example, segregation of personnel who operate in the developmental function

select three arbitrators ranking in preference order and notify the Office, in writing, within fifteen days from the date of filing the statement of claim or the date on which the mediation of dispute is

client to comply with the following rules in order to deliver ETF units or underlying shares of ETF according to the short selling transactions within the period as specified by the clearing house or

case may be. However, should there be any customers’ complaint relating to the giving of advice or placing of order whose proceeding has not been completed within such period, the record of such advice

status and operating performance, securities business report, report of clients’ assets with the SEC Office using the forms annexed to this Notification within the schedules as follows: (1) the business

management of the clients’ assets within sixty days as from the date when the intermediary becomes under receivership by court order. Upon completion of proceedings as prescribed in this Notification, the SEC

Clients of Securities Companies and Derivatives Intermediaries in order that an intermediary shall comply with such Notification by reaching same standard in practice. Clause 2 An intermediary shall provide

shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing