notice of such intentioin to the SEC Office is not required to comply with the provisions under Clause 3 and Clause 4. The SEC Office shall be empowered to require the derivatives broker under the first

obligations with the intermediary and having been segregated clearly. Chapter 1 Scope of Proceeding _________________ Clause 4 For the purpose of debt repayment in the capital market as a whole and for a client

appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.

securities company to apply for approval of persons who are major shareholders; “Office” means the Office of the Securities and Exchange Commission. Clause 3. For the purpose of implementation of the third

broker received from a client for clearing and settlement purpose, or which a derivatives broker received for or on behalf of a client for clearing and settlement of a client’s derivatives transaction; (e

a reasonable and necessary ground and that such securities trading is without the intention to seek benefits in the manner of exploiting the clients, or shall be able to demonstrate that there is a

broker under Paragraph 1(2) ceases to operate the derivatives business as the derivatives broker and has given a written notice of such intention to the SEC Office, such securities company shall maintain

. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders

Business , an intermediary shall at least comply with the following rules: (1) such revision and updating thereof shall be performed within the following periods of time: (a) the information for the purpose

following periods of time: (a) the information for the purpose of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval