which is beneficial for controlling employee of securities trading, and such other information under possession of the securities company, upon receiving a request by the other securities companies within
receiving a request by the other securities companies within a reasonable period; (3) informing the client and the person who has power to instruct the orders for securities trading for the client’s account
retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory
wishes to request for exemption from the Securities and Exchange Commission, as follows: Name Prohibited characteristics requested for exemption
, the company wishes to request for exemption from the Securities and Exchange Commission, as follows: Name Prohibited characteristics requested for exemption
main office of the securities underwriter for the period of at least one year from the offering closing date in such a manner that can be promptly presented to the Office upon request. The fair
one year from the offering closing date in such a manner that can be promptly presented to the Office upon request. The fair allocation under the first paragraph shall not include allocation of shares
upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities company shall segregate assets under its custody as assets of clients in not less than the following amount: (1) Money: the