shall comply with the rule related to the determination of the fair value of an investment specified by the association, mutatis mutandis; (b) in case the rule under (a) does not govern the determination
) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of
or the law on securities and exchange, as the case may be, and the regulations issued by virtue of the said laws. Clause 3 This Notification shall govern the segregation and management of the assets of
personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage
securities borrowing and lending agreement having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts of different
intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage to the client
group of companies call for substantial competition, demonstrate clearly how the Company protects the shareholders' rights and ensures fair treatment or how the corporate management works for the best
) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to
substantial fees are overdue? 9 Are there any significant bad debt write-offs for existing audit clients? 10 Non Audit Services / Cross Selling: Should require that: others within the firm, and its network
relation to the business group of the major shareholder. If the business structures of the Company or its group of companies call for substantial competition, demonstrate clearly how the Company protects the