liabilities and collateral at the end of any business day. In case the securities company has ceased its derivatives business and already informed the cessation thereof in writing to the SEC Office, such

, the derivatives business operator shall notify the SEC Office in writing of such change of position or power of the said person in accordance with the form and procedure provided on the website of the

writing and if the Office has no objection in writing within fifteen days as from the next following date after the Office has been notified, such fund supervisor can then make such changes. In cases where

writing and if the Office has no objection in writing within fifteen days as from the next following date after the Office has been notified, such fund supervisor can then make such changes. In cases where

writing and if the Office has no objection in writing within fifteen days as from the next following date after the Office has been notified, such fund supervisor can then make such changes. In cases where

shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are

establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest

establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest

4. A notifications of allegation, appointment, imposition of administrative sanction, consideration on appeal or any other matters shall be made in writing. Clause 5. In cases of urgency or where a

investment advisory company shall give a prior notice in writing to the Office. Unless the Office gives an objection in writing within fifteen days from the date of receiving the notice, the investment