forms in order to have sufficient information to supervise the aforementioned risks and to provide appropriate measures to respond to the case of such events, which could immediately slow down or
not lose the money if making investment decision on the advice. Furthermore, {A} failed to immediately submit orders to close out derivatives positions as directed by the client, causing the client to
is made. The storage of such document or evidence shall be made in the manner which is immediately available upon the Office’s request for a review or an inspection. Clause 4 This Notification shall
Estate Investment Trust. Clause 2 REIT shall report to the SEC Office immediately when one of the following circumstances occurs: (1) any circumstance that may affect REIT to be dissolved; (2) any
Reference is made to the event where the bonds of Destination Resorts Co., Ltd. experienced a default, and the bondholders' representative called for the DR212A and DR20DA bonds to be due immediately
to comply with investors’ orders. In the event that such compliance cannot be done, investment consultants must inform investors immediately and must not make a trading decision without investors
securities companies. Any transactions not ordered by investors themselves should be rejected or an objection should be made immediately to prevent potential damage
failing to maintain NC to immediately cease the business operation and transfer the customers’ assets to other business operators in order to limit effects on the customers and stability of the capital