Regulations Governing the Operation of Securities Introducing Broker Business by Futures Commission Merchants Article 5

When acting on a securities firm's behalf to open accounts for securities investors, a securities introducing broker shall be subject, mutatis mutandis, to Articles 33 and 34 of the Regulations Governing Securities Firms.When the mandating securities firm confirms and signs or seals the relevant information pertaining to account openings for securities investors performed on its behalf by the securities introducing broker pursuant to the preceding paragraph, it shall do so in accordance with securities laws and regulations and related provisions.