Office. A securities company may subtract the following money from the assets segregated as client’s asset under the first paragraph: (a) debt repayment paid prior to the due date; (b) debt repayment for
Name of auditor affiliated with audit firm Financial statements audit Financial statements / information review 1. Unmodified opinion 2. Qualified opinion due to (can choose more than one): ฆ 2.1
. In taking custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in
assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner that is
company shall segregate assets under its custody as assets of clients in not less than the following amount: (1) Money: the amount of money required to be segregated each day shall not be less than the
company shall segregate assets under its custody as assets of clients in not less than the following amount: (1) Money: the amount of money required to be segregated each day shall not be less than the
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 to
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 to
and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records of assets of each client
and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records of assets of each client