its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records
from the provisions under Division 2: Debentures, Division 3: Issuance of Secured Debentures, Division 4: Register and Transferability, or Division 5: Disclosure of Information and Auditor of this
required; 2.3 consider risks of media degrading while stored information is still needed and methods on how to handle such risks in case of prolonged storage; 2.4 keep all media in a safe and secured
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
which are secured with collateral placed by the derivatives broker and are not under the condition allowing the creditor to call for prepayment before the maturity date, only in the portion of liabilities
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
. “ qualified liabilities ” mean: (1) liabilities which are secured with collateral placed by the securities company and are not under the condition allowing the creditor to call for prepayment before the
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
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
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of