less than five consecutive business days; (3) implement the corrective plan or guideline notified to the SEC Office under (2) in order to regain the maintenance of capital in accordance with the

custodian must not expand its business operation, during the period which the custodian can not maintain its financial position as specified under Clause 4, until such custodian can regain its financial

time objectives) and set a recovery order of every critical business function suitable for possible impacts. 4.2 Companies should consider to determine a data class and latest data set to recover

) shall be returned to the client . In proceeding with the actions under the first paragraph, if the SEC Office fails to contact the client or the client fails to retrieve the assets, the SEC Office shall

in compliance with such rules. (2) consent of the service provider for the SEC Office to inspect its operation, retrieve for viewing or examine relevant evidentiary documentation; (3) causes

appraising, it shall adjust such items to demonstrate total. If total result in loss, it shall demonstrate the amount of cash in the parenthesis. 1.4 Gain (loss) on Derivatives trading means gain or loss on

Office; (3) calculate the market prices of derivatives held by a client including any profit or loss from positions on derivatives in order to adjust the margin value of the client at least at closing time

service provider, retrieve for viewing or examine relevant evidentiary documentation; (3) causes, conditions and procedures for terminating the contract or suspending performance [under such contract]; (4

records of clients’ assets as prepared by the securities company. For the clients’ assets which are not kept by the securities company itself, the securities company shall put in place a system to retrieve

manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the