shall enter into a written agreement with the client who has assigned the derivatives broker to act as the client’s agent in derivatives trading, provided that the written agreement the derivatives broker
entering into the agreement with the client in writing, which shall contain sufficient measures to ensure that the client is the same person as the one appears on the application document for an account
the application for account opening and entering into the agreement with the client in writing, which shall contain sufficient measures to ensure that the client is the same person as the one appears on
into the agreement which appoint the securities company as the securities broker of the client, the securities company shall establish the methods and procedures for considering the application for
client before providing services, whether in the form of an application to open a trading account, a contract or any other agreement, in accordance with Clause 44 of the Notification on Standard Conduct of
cases where an intermediary is required to make an agreement with a client before providing services, whether in the form of an application to open a trading account, a contract or any other agreement, in
the SEC Office, and shall continue the maintenance of such documentation for at least five years from the termination date of the agreement with a client . The provisions in Paragraph 1, Paragraph 2
five years from the termination date of the agreement with a client. The provisions in Paragraph 1, Paragraph 2, and Paragraph 3 shall also be applicable to a counterparty which is a securities company
” means a sale of securities which must be borrowed for delivery; 2“client” means a person who enters into an agreement to borrow money from a securities company for purchasing securities, or a person who