pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
as follows: (1) issue notices to the creditors whose names appear in the accounts and related documents of the mutual fund, instructing them to submit demand for debt repayment to the liquidator within
obligations with the intermediary and having been segregated clearly. Chapter 1 Scope of Proceeding _________________ Clause 4 For the purpose of debt repayment in the capital market as a whole and for a client
securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail client , the securities company
prices as well as financial status, ability to deposit of margins and debt repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC
forthwith inform such necessity to the Office. A securities company may subtract the following money from the assets segregated as client’s asset under the first paragraph: (a) debt repayment paid prior to
investment, debt repayment and pledging collateral, and confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically
requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of investment, debt repayment and pledging collateral, and
number or value of investment units; (2) fees or expenses imposed on investors; (3) merger or amalgamation of mutual funds ; (4) acceptance of debt repayment in the form of securities or other assets by
(e); (2) bonds having high-risk or complex characteristics including: (a) hybrid securities with debt repayment period longer than 270 days as from the date on which hybrid securities have been issued