margin loans and the loans to any particular client to ensure greater caution; (3) To establish a concentration ratio for the securities used as collateral by each customer, ensuring it does not exceed
its custody; (2) any business operator, which ceases to undertake any particular category of its business by regulation or order, and when the SEC Office has received notice in writing from the business
service and securities underwriting; (2) The securities companies licensed to undertake securities business in the categories as specified in (1), except any one particular category; (3) The securities
underwriting; (2) The securities companies licensed to undertake securities business in the categories as specified in (1), except any one particular category; (Translation) - 2 - (3) The securities companies
underwriting; (2) The securities companies licensed to undertake securities business in the categories as specified in (1), except any one particular category; (Translation) 2 (3) The securities companies
upon such information without appropriate professional advice after a thorough examination of the particular situation. British Library Cataloguing in Publication Data A catalogue record for this book is
. 5. In particular the disclosures should, with respect to conflicts of interest, address the priority given to client interests in decision-making; with respect to collective engagement, describe the
incorrect until the date on which the unit value is correct, and shall take the following actions only on such particular dates on which the difference between the incorrect unit value and the correct unit
found incorrect until the date on which the unit value is correct, and shall take the following actions only on such particular dates on which the difference between the incorrect unit value and the