governing rules, conditions and procedures for handling customers’ assets deposited with the custodian mutates mutandis. 11Clause 6/1. A registered person shall not allow its custody agent to appoint a sub
Notification to ensure the intelligibility thereof in the operation, and to allow the Office to monitor such operation. Clause 20. Prior to the effective date of this Notification, if the work system and
specifying rules, conditions and procedures relating to such matters as specified in this Notification to ensure the intelligibility thereof in the operation, and to allow the Office to monitor such operation
specifying rules, conditions and procedures relating to such matters as specified in this Notification to ensure the intelligibility thereof in the operation, and to allow the Office to monitor such operation
companies shall not allow the use of anonymous or fictitious names in opening of accounts or conducting securities transactions. Clause 12. In case where an account is opened by a financial institution in
Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis). Clause 11. Securities companies shall not allow the use of
). Clause 11. Securities companies shall not allow the use of anonymous or fictitious names in opening of accounts or conducting securities transactions. Clause 12. In case where an account is opened by a
investor contact through the qualification of being executive, (3) to allow the simultaneous renewal application for the person obtained approval as investor contact and derivatives investor contact, and (4
regulations, (2) to revise rules on applying for investor contact through the qualification of being executive, (3) to allow the simultaneous renewal application for the person obtained approval as investor
regulations, (2) to revise rules on applying for investor contact through the qualification of being executive, (3) to allow the simultaneous renewal application for the person obtained approval as investor