intermediary shall consider received information as prescribed in Clause 31 in order to provide corresponding services including appropriate information and caution to each type of the client . In case the

shall comply with the following rules: (1) shall make consideration of credit rating information selection with responsibility and caution (fiduciary duties) and shall not make credit rating information

notification of the SEC. "debenture" means any debit instrument of whatever name excluding bills, divided into units, each with equal value and a predetermined rate of return, issued by any company to a lender

or right of a person arising from derivatives trading. “close out a derivatives position” means to discharge an obligation or terminate rights under derivatives an equal and opposite trade which

important statement, for instance, caution of risks; (2) using statement without being misleading or distortion; (3) not having exploitative terms and conditions, or not being unfair agreement; (4) covering

for at least one year and ready to be examined and submitted upon request by the SEC Office. Clause 5. In case it is shown that any securities company have net liquid capital at the end of any day equal

caution (fiduciary duties) and shall not make credit rating information selection which may cause assets of clients to be in a condition of low liquidity and high risk (cherry picking); (2) shall use the

that such person obtains approval as category A investor contact according to the qualification set forth in (2) of the second paragraph of Clause 4 and the approval period shall be equal to the

demonstrating the acknowledgment of the client with respect of the caution about risks arising from such investment or transaction. While the client has not confirmed on the investment or entering into the

do not collect money or assets, or do not draw the money from the cheque paid from the distribution of the assets, the liquidator shall deposit money equal to the amount of such debts or cheques or