arise from such action. Similar risk may arise if the investor has a derivatives position, whether in his/her name or in the name of other person, where the position exceed the amount impose by the
investor will still be responsible for any loss that may arise from such action. Similar risk may arise if the investor has a derivatives position, whether in his/her name or in the name of other person
other similar supporting services; “Office” means the Office of the Securities and Exchange Commission. Clause 3. Except as provided by Clause 5, a securities company may use back office service from any
for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or other similar supporting services
other similar supporting services; “Office” means the Office of the Securities and Exchange Commission. (Translation) -2- Clause 3. Except as provided by Clause 5, a securities company may use back office
securities or capital markets or other similar lines of work, regardless of whether the operation of such line of work is to provide services for other persons or for the benefit of the company itself; (4
markets or other similar lines of work, regardless of whether the operation of such line of work is to provide services for other persons or for the benefit of the company itself; (4) “Executive director
any other similar condition, unless such condition has been waived by the SEC Office; (b) contingent liabilities which are clearly specified in a contract that the creditor has no rights to call for
, such liabilities shall not have any condition of repayment before the maturity date within one year, regardless of the term of a put or call option or any other similar condition, unless such condition