indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
within seven days from the date on which the securities company knows or is plausibly aware of the prohibited characteristics of such executive. Clause 7. The provision in Clause 3(1)(b) shall not apply to
business operator. In case where the SEC Office knows that the cause of not maintain the qualifications specified in Clause 11 by registered derivatives business operator has a serious effect that is
from the date on which the claimant knows or should have known of the cause of such dispute and not more than one year from the date on which the dispute occurred except where the Office deems it
Clause 12. In case the Office knows the facts that any investor contact lacks qualifications under Clause 5 or violates or fails to comply with rules of conduct as specified in this notification, the
comprehends such information well and would be able to instruct them to the client . Clause 42 The information relating to capital market products as prescribed in Clause 41 shall be at least as follows: (1
acknowledges and comprehends such information well and would be able to instruct them to the client . Clause 42 The information relating to capital market products as prescribed in Clause 41 shall be at least as