administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions, who are responsible for the asset custody function

services (e.g. in terms of fees earned and/or potential embarrassment where mistakes are made)? 4 How are client relationships managed – are there separate client relationship partners or does the Registered

group of companies that identifies the shareholding proportions and the voting rights (if different from the shareholding proportions). In case of a subsidiary formed by a joint venture agreement with

group of companies; - Shareholding diagram of the group of companies that identifies the shareholding proportions and the voting rights (if different from the shareholding proportions). In case of a

securities borrowing and lending agreement having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts of different

every days. Clause 4. Unless otherwise prescribed in Clause 6, the securities company shall open on different hours and days as indicated in Clause 3(1) within the following rules: (1) in case of

. Balance at end 25x1 x x x x x x x (x) x x /1In case of the company have both ordinary share and preferred share, it shall separate ordinary share and preferred share. And in case of having both a surplus

trade derivatives which have specific risks different from those disclosed in the risk disclosure statement under Clause 14 and the intermediary has never disclosed such specific risks, the intermediary

in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The

separate row. 1.2.2 Product information Give a separate description of each product line or business group in the following matters. (1) Characteristics of products or services and development of business