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

business operator in the category of derivatives broker, derivatives dealer and derivatives advisor shall submit an application for registration in the form 16-4 and documentary evidence annexed to this

; “Office” means the Office of the Securities and Exchange Commission. Clause 3. The securities company shall prepare a financial statement in accordance with the format annexed to this Notification and shall