under Clause 31, the SEC Office shall at least: (1) give a chance to the person under consideration to elucidate the facts; (2) deliver facts and elucidation (if any) of the person under consideration to
) deliver facts and elucidation (if any) of the person under consideration to the committee [according to Clause 37] for considering facts and evidence and proposing opinions on such matter [back to the SEC
specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports
. Page 3, Page 5, Page 6, Page 17, Page 27, Page 29, Page 30, Page 33, Page 42, Page 45, Page 49, and Page 53 of the explanation to the calculation of Net Liquid Capital according to the Form BorLor. 4/1
. In this regard, the Office may request for an explanation or clarification of such reports or documents. Clause 11/3. In the case where the investment advisory company violates or fails to comply with
shall sign its name in risk disclosure statement to certify that it gave explanation of risks in derivatives trading to the customer, as well as to arrange its customer to sign his/her name in the
communicating with and providing services to clients corresponding to each type of capital market products or services; (d) providing sufficient information and explanation regarding risks of capital market
clarification is made with reference to the relevant notes to the financial statements). Income Structure 1 Product Line/ Business Group Operated by Shareholding % Income2 (YEAR) % Income2 (YEAR) % Income2 (YEAR
. 10) dated 29 November 2005. Clause 2. In this notification hereto: (1) “report of net liquid capital calculation” means report of net liquid capital calculation in the form and explanation for
explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such instruction to the date on