licensed to undertake derivatives business in the category of derivatives brokerage. “ assets of client ” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying
, cover the following issues: 8.2.1 Procedures for communicating with relevant persons, correctness and modern of name list and contact data. 8.2.2 Procedures for evacuating employees or moving personnel to
information to the prospective investors. The management company may offer the units for sale upon satisfying the conditions in (2); (2) the offering of the units may commence upon complete compliance with the