related to back office function. Such keeping shall be readily available at any time for derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to
evidence related to back office function. Such keeping shall be readily available at any time for (Translation) -5- derivatives broker to examine or inspect promptly, and also for the Office and auditor of
trading order and the details related to derivatives trading transaction, and documents and evidence related to back office function. Such keeping shall be readily available at any time for (Translation) -5
readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with
readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with
evidence of service provider. Such keeping shall be readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine
accounts in undisclosed manner (omnibus account); (2) Derivatives position limit of customer at any time; (Translation) Page 3 of 3 (3) Derivatives position of customer that is still open (open interest); (4
account); (2) Derivatives position limit of customer at any time; (3) Derivatives position of customer that is still open (open interest); (4) The amount and type of asset deposited as margin or for
accuracy and timeliness. The innovative system also serves as a self-study knowledge platform, allowing our staff members to learn at any time, by themselves. 3.5 Awards and Commendation Through these
such transaction; “purchasing power” means a maximum value of which a client may purchase securities in a margin account, at any time, including a brokerage fee; “short sale power” means a maximum value