1 shall prepare and file such reports even though there is none of any transaction during such period. Clause 4 Business operators shall file reports in Clause 3. with the SEC Office in the electronic
have duty to file the reports under (2) or (3) with the Office shall file such reports even though there is no transaction during such period. Clause 3/1 . In case where securities companies wish to file
justifiable purposes; (8) the client deposits a significant amount of cash with securities company without a clear order on how the money will be used for investment, or even when an order is made, the amount
, even if the objects thereof are not the same, or the obligations are subject to conditions or terms as to time, or the derivatives business operator becomes entitled to the claim underlying such
, Section 82, Section 83, Section 84, Section 85, Section 86, Section 87 or Section 88, whether before or at the time of the commission of the offences, and even though the person committing the offences is
sufficient for the Selection Committee to consider nomination of such experts. The rules under the first paragraph shall be approved by the Minister and shall continue to be in effect even though the Selection
as specified in the fund’s article. In cases where there is any doubt in information or rule specified in the fund’s article, even it is trivial, the management company should immediately inquire the
deferred remunerations and benefits accrued for the year, even if they are payable at a later date. In the case where the remunerations in the previous year do not reflect the actual remunerations (for