company shall not engage in any act which result in creating, altering, transferring, reserving or terminating the right in assets of any client, without or not comply with instruction or consent from the
company under the method specified in Clause 18 (1) (a) or (2) (a) shall not be considered as the appointment of an agent for the custody of client’s assets. Clause 9. A securities company shall not engage
a representation given in accordance with the rules specified in the notification of the SEC Office. (5) In cases where derivatives broker engage as a counter party in a derivatives trading with the
already specified, except for a representation given in accordance with the rules specified in the notification of the SEC Office. (5) In cases where derivatives broker engage as a counter party in a
order to engage in securities transactions on behalf of its clients (omnibus accounts), securities company may merely conduct the KYC/CDD on the financial institution instead of the financial
anonymous or fictitious names in opening of accounts or conducting securities transactions. Clause 12. In case where an account is opened by a financial institution in order to engage in securities
financial institution in order to engage in securities transactions on behalf of its clients (omnibus accounts), securities company may merely conduct the KYC/CDD on the financial institution instead of the
the case where the derivatives broker will engage in a derivatives contract with a client as a counterparty, the derivatives broker shall inform the client of such position and obtain a written consent
accordance with the criteria prescribed and notified by the SEC Office; (5) in the case where the derivatives broker will engage in a derivatives contract with a client as a counterparty, the derivatives