SEC, prepare and keep account of such advances. The item and amount of asset as indicated in the account under the first and second paragraph are presumed to be correct, unless proven otherwise.

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

as the operation of the work units relating to undertaking the derivatives brokerage business in a manner whereby it can be demonstrated that a system to prevent conflicts of interests, a system to

); provided that such policy shall be clearly indicated in the remarks of the financial statement. 2. A long-term deposit at a financial institution means a deposit at a financial institution other than those

derivatives position, the amount of the initial margin and maintenance margin for such position by contract shall be indicated; (2) The market price of derivatives contract at the end of business day; (3) The

any derivatives position, the amount of the initial margin or the maintenance margin for such position by contract shall be indicated; (2) the market price of derivatives contract at the market closing

scope and description of delegated responsibilities of each position (job description). *** The number of experience years may be indicated in periods of time. **** For example, the Audit Firm has 3

securities underwriting in accordance with the procedures indicated in a prospectus. Clause 5. A securities underwriter shall not subscribe for securities of which it makes underwriting. Clause 6. Subject to

. Clause 4 A securities underwriter shall make securities underwriting in accordance with procedures indicated in a prospectus. Clause 5 A securities underwriter shall not subscribe for securities of which

indicated in the documents published for dissemination of mutual fund rating information, containing essential statement that the information on mutual fund rating should be used only for supplementing the