remains outstanding (open interest); (4) the amount and type of asset deposited as margin or for settlement of derivatives contract on maturity; (1) the profit gained from derivatives position and the
negotiation on securities investment with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and
handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related personnel of the policies and the practices as well as a procedure for continuous
custodian agent can perform its duties as designated in accordance with the Notification of the Office Re: Rules, Conditions and Procedures on Handling of Customer’s Assets Deposited with Custodian. Clause 3
or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund
acceptance of redemption of investment units or customer solicitation; (4) handling investor complaints relating to the performance of duties in sale or acceptance of redemption of investment units or customer
number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of
complaint handling system in relation to securities business undertaken by the securities company, its employee or its agent; (2) receive a complaint in (1) from a customer and complaint from a customer
person in subparagraph (a) who holds a net claim against such derivatives business operator arising out of derivatives transaction, closing out of derivatives positions, or adjustment in outstanding