the first available opportunity; (4) in cases where a client’s trading account is suspended in accordance with the criteria of the intermediary, such information shall be revised and updated completely
subclause (1), such information shall be revised and updated at the first available opportunity; (4)1 in cases where a client’s trading account is suspended in accordance with the criteria of the intermediary
approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital
disputes incidental to or resulted from the derivatives business. Such written agreement shall be made at the first opportunity possible but shall not exceed one year as from the date this Notification
interest for such client ; (b) being able to exhaustively prevent illicit exploitation of information or opportunity as a result of the intermediary ’s services; (c) separating units and personnel of such
client in each category is treated fairly and with the best interest for such client ; (b) being able to exhaustively prevent illicit exploitation of information or opportunity as a result of the
derivatives broker ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other contingent liabilities which require payment by
contingent liabilities of a derivatives broker not shown in financial statements, which are: 1. contingent liabilities arising from guarantee, [or] certifying or aval on bills of exchange; 2. contingent
company not shown in financial statement, which are: 1. contingent liabilities arising from guarantee, [or] certifying or aval on bill of exchange; 2. contingent liability which the securities company shall
, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5