issued by virtue of this Notification or other Notifications thereof, have not been stipulated as a requirement for any particular business operation, or have been stipulated such requirement but it is
institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired
Supervisory Board including any regulations or guidelines issued by virtue of this Notification or other Notifications thereof, have not been stipulated as a requirement for any particular business operation
_____________________________________________________________________ 3. I/We have not had any record of violation of the laws or regulations of Home Jurisdiction in matters relating to the disclosure of material information to investors or Home Regulator, and have
it is in the beginning or ongoing period, disclose the operating period for investors’ information. In the case where the Company has not prepared the greenhouse gas emission information, specify “no
and coins holding by the company, including miscellaneous cash, money orders, postal bills, due cheques still have not yet been deposited, travelers’ cheque s and bank drafts 2) bank deposits in current
have already obtained an approval to perform function in any position under Clause 8(1) (2) or (4), and such period of approval has not ended, the approval of all kinds shall end in concurrent with the
license or business activities. Yes No If “No”, please specify __________________________________________________ _____________________________________________________________________ 3. I/We have not had
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