. Should the loss sustained by the Client’s position in the market cause the balance in its margin account to drop below the maintenance margin , the Client will be called by his/her derivatives agent to

statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of

” 3 means a fund established for employees of multiple employers. “wages” means the money paid by the employer to the employee as remuneration for working, whether determined, calculated or paid as the

with the following criteria: (a) the fee rate shall be 0.001 percent of the net asset value under management in each calendar year, calculated from the average of the total net asset value under

the derivatives exchange; (2) call for its clients to deposit additional margins when their margins drop below the rate or value of the maintenance margins prescribed by the derivatives exchange or

financial ratios. In the case of the Company in an industry with specific ratios such as an average occupancy ratio (in case of hotel business), such ratios must be presented additionally. Information Quarter

, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in

company report transmission system” means electronic data transmission system determined by the Office for use of the securities company in submitting the report of the securities company to the Office

No If yes, please summarized the results of inspection in the space below 5. Declaration I hereby declare that all information provided in this application and its attachments are true and correct

as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a