obligations thereunder. Unless a party is able to offset its position before the settlement date, the seller of futures is obliged to make and the buyer is obliged to take delivery of the underlying asset of
. (please fill details only in case of an application for approval to be an executive of a securities business licensee.) Name of Company and Position Holding shares of his or her own (in case of a director
futures Futures is a contract where both the buyer and seller have an obligation to comply with the agreement in the contract. Therefore, if the contract is not closed out before the settlement date, the
such contract (if any). Any asset used as a collateral shall be identified together with the limit of the obligations. In the case where the Company or a subsidiary has intangible assets which are
into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client ’s [pending] order for trading or engaging in a contract
increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to
asset used as a collateral shall be identified together with the limit of the obligations. In cases where the Company or a subsidiary has intangible assets which are significant to business undertaking
custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
) entering into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client ’s [pending] order for trading or engaging in a