services for customers, the securities company shall open Monday to Friday from 8.30 A.M. till 5.00 P.M. and close on weekend and traditional holidays as notified by the Office on a yearly basis; (2) in case
security of information technology in accordance with the criteria prescribed and notified by the SEC Office. Clause 9 The derivatives broker shall ensure that at least one-quarter of the company’s directors
derivatives position, the amount of the initial margin and maintenance margin for such position by contract shall be indicated; (2) The market price of derivatives contract at the end of business day; (3) The
SEC, prepare and keep account of such advances. The item and amount of asset as indicated in the account under the first and second paragraph are presumed to be correct, unless proven otherwise.
any derivatives position, the amount of the initial margin or the maintenance margin for such position by contract shall be indicated; (2) the market price of derivatives contract at the market closing
securities underwriting in accordance with the procedures indicated in a prospectus. Clause 5. A securities underwriter shall not subscribe for securities of which it makes underwriting. Clause 6. Subject to
. Clause 4 A securities underwriter shall make securities underwriting in accordance with procedures indicated in a prospectus. Clause 5 A securities underwriter shall not subscribe for securities of which
year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk
indicated in the documents published for dissemination of mutual fund rating information, containing essential statement that the information on mutual fund rating should be used only for supplementing the
private fund management company [unless indicated otherwise], including: (a) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of any