Performance; (2) Securities Business Report; (3) Other reports as required by the SEC Office for the purposes of supervision and inspection of securities companies’ status and operations. Clause 2 Any

liquidity for derivatives trading in derivatives exchange; (4) “ initial margin ” means the minimum amount of assets which a client shall deposit to secure the performance of derivatives when entering a

company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles

customer to secure the performance of derivatives contract when a derivative position is initiated; (4) “ maintenance margin ” means the minimum amount of assets to be maintained by a customer as long as the

Capital Market Supervisory Board concerning Personnel in the Capital Market Business . Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and disclose the

selling within settlement period specified by the clearing house or within performance period specified by counterparty, a securities company shall provide an operating system to support such having

comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange

indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for

the person listed in the register of person qualified to be property fund manager and have never been appointed as a property fund manager; (b) the performance of duties as property fund manager or

shall handle investor complaints arising from the performance of the representative or its staff in a similar manner to handling of complaints arising from the performance of the management company itself