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

premises with other people, the management company shall proceed as follows: (1) arrange to have space for the branch office to serve customers and to store documents separated from space that other people

. is clearly separated from those to be offered to the public, which is already disclosed in the registration statement and draft prospectus; (2) allotment of securities left from subscription of all

) 2., 3., 4., or 5. is clearly separated from those to be offered to the public, which is already disclosed in a registration statement and draft prospectus; (2) allotment of securities left from

as prescribed by the accounting principle. 26. Retained earnings (deficit) 26.1 Appropriated 26.1.1 legal reserve means the reserve separated from annual net income under the Civil and Commercial Code

Particulars of Client’s Assets Clause 12. A securities company shall provide an account of each client’s assets under custody of the securities company. Such account shall be separated from other asset accounts

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

-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front-office function) should be clearly separated from the unit which has duties in