350 of the Civil and Commercial Code. However, if the action taken is the transferring of derivatives position of customer or customer asset to other derivatives business operator, such action shall in
because of the securities company in the position as a subsidiaries or entire taken over or almost under control by the other business. 3. Summary of Significant Accounting Policies Disclosure of each topic
companies who will be allotted the units proportionally to their shareholdings: 1. the listed company that will be selling, transferring, leasing or granting the rights in the infrastructure asset to the fund
stipulated under the first paragraph, it shall be taken account of nature, scale, quantity, complexity and diversity of businesses and services, as well as acceptable level of risks relevant to such businesses
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the
submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the
compliance with applicable laws and regulations, including relevant standards of business operation. In considering appropriateness and sufficiency as stipulated under the first paragraph, it shall be taken
pledged with the fund’s counter parties; Transferring of money or assets for other objectives other than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). 3
not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring