company shall not lend money for purchasing securities or lend securities for making a short sale to a person whom the company knows or should have known to be a nominee of any other person. Clause 3 When a
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
notify the fact in writing to the Office 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
the power to revoke the registration of derivatives business operator. In case where the SEC Office knows that the cause of not maintain the 3 Amended by the Notification of the Securities and Exchange
proportion. The company received such a valuation in December 2017. Therefore, profit and loss statements for the third quarter, the year 2017 that was compared must be adjusted that the company already knows
occurred not more than six months 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
information specified under (a), (b) and (c) of direct or 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