following cases: ( (1) new request for approval submitted after a previous rejection by the SEC Office; ( (2) request for renewal of approval or request for approval submitted after a previous approval was
characteristics into account: (1) Any behavior indicating any act or omission to act in bad faith or by gross negligence in relation to undertaking any transaction of the company or its subsidiary resulting in
notification of the SEC Office. A contract or an agreement in the first paragraph shall not have any statement denying the derivatives broker’s responsibility to clients from any act or omission of any act
is correct, accurate, and complete in all respects. I/We also certify further that the said documents neither contain any false or misleading statement in materiality nor omission of any material
the said documents neither contain any false or misleading statement in materiality nor omission of any material statement that ought to be declared. In this regard, as evidence that each and every page
nor omission of any material statement that ought to be declared. In this regard, as evidence that each and every page of the documents is of the exact documents to which I/we have certified, I/we have
contract with service provider that should cover the followings: (1) Duties and responsibilities of service provider including the derivatives broker’s responsibilities and its clients on any act or omission
matters: (1) Duties and responsibilities of service provider including responsibility for securities company and its clients from any act or omission of any act, willfully or negligently, of the service
not meet the conditions set forth in Clause 6, the Office shall notify the rejection and return such statement of claim to the claimant within fifteen days from the date on which the Office receives
limiting derivatives broker ’s responsibility on assets of clients , and in the case where the assets of the clients is lost or defected due to the omission of a derivatives broker ’s duty, there shall be a