securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “institutional client” means a person who makes transactions with a securities company in securities
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account
) “margin account” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “cash account” means an account
effective system for protecting the client?s asset that are (1) failing to segregate assets under its custody as assets of clients in accordance with the notification and (2) investing assets of clients in
a derivatives intermediary. “ client ” means a person who uses or will use services relating to securities businesses from a securities company or derivatives business from a derivatives intermediary