stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication and service
stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication and service
securities company , the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities company . Clause 5 The provisions in Clause 19
securities brokerage business undertaken by a securities company, the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities
securities brokerage business undertaken by a securities company, the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities
comply with the following criteria: (1) the derivatives broker shall perform his or her duty honestly by taking into consideration the best interests of clients; (2) the derivatives broker shall give
as a derivatives broker for clients, the derivatives broker shall comply with the following criteria: (1) the derivatives broker shall perform his or her duty honestly by taking into consideration the
as a derivatives broker for clients, the derivatives broker shall comply with the following criteria: (1) the derivatives broker shall perform his or her duty honestly by taking into consideration the
result of economic situations caused business operators to increasingly perform fundraising through bond issuance, and the public in turn search for investments with higher yield that were often associated
shall be a statement indicating that such person [i] agrees to perform the duties as the trustee of the REIT after having studied the evidentiary documentation submitted to the SEC Office by the applicant