the proceeding power ” means an official receiver and the SEC Office. “ client asset account ” means an account of a client’s assets prepared by an intermediary in accordance with the law on derivatives

stationed at the office of the securities company where the communication with the client of such matter takes place; (b) arrange a system that allows the client to communicate with the securities company ’s

holder as the owner or beneficiary of a collective investment scheme established under foreign law, either in the form of company, trust or any other form. Clause 3 A licensee shall pay to the SEC Office a

beneficiary of a collective investment scheme established under foreign law, either in the form of company, trust or others. Clause 3 This Notification shall apply to the licensees of the following licenses: (1

appearing in the documents and evidence used for opening of the account, including identification of the customer’s identity, source of funds used for derivatives trading and the real beneficiary of the

providing payment services to clients or the ultimate beneficiary changes materially or inappropriately, or there is a reasonable ground to suspect the reliability, accuracy or completeness of the information

function under Clause 8 to the following third party without submitting an application for obtaining the approval under Clause 12: (1) a financial institution, or the intermediary ’s affiliated company whose

capital market products, investment management, management of the intermediary ’s branch office, supervising account of clients and making investment decisions for clients , operational function, compliance

employee’s membership is terminated or beneficiary that can be easily contacted (in the case where the member requests for depositing his money in the fund) (a.6) contribution rate and benefit (a.7) cause of

preserved information media which having a detail of receiver, sender, authorised person, type of information and time. [A] · Providing a destroy method of information and media which out of use, including