companies to apply to such operating control: Clause 1 In this Notification: “securities company” means a company licensed to undertake securities business in the category of securities brokerage or
companies to apply to such operating control: Clause 1 In this Notification: “securities company” means a company licensed to undertake securities business in the category of securities brokerage or
business in the category of securities brokerage, securities dealing, securities underwriting or mutual fund management, excluding the financial institution established under other law and licensed to
business in the category of securities brokerage, securities dealing, securities underwriting or mutual fund management, excluding the financial institution established under other law and licensed to
” means any person licensed to undertake derivatives business in the category of derivatives broker. (2) “client’s assets” means (a) assets which derivatives broker received or held as collateral for
licensed to undertake derivatives business in the category of derivatives broker. (2) “client’s assets” means (a) assets which derivatives broker received or held as collateral for derivatives trading
undertake derivatives business in the category of derivatives broker. (2) “client’s assets” means (a) assets which derivatives broker received or held as collateral for derivatives trading positions held by a
management company which accepts the redemption of investment units; (4) “management company” means a securities company licensed to undertake securities business in the category of mutual fund management; (5
management company which accepts the redemption of investment units; (4) “management company” means a securities company licensed to undertake securities business in the category of mutual fund management; (5
: “Securities company” means a company licensed to undertake securities business in the category of securities brokerage or securities dealing; “Foreign securities” means securities which are issued in foreign