company shall proceed as follows: (1) buy or sell securities according to the bid and offer price, and shall make a clear understanding with the counterparty regarding the expiry time of such bid and offer
counterparty whether an offer price is a firm quotation or an indicative quotation. Clause 11 In the case where a securities company bids or offers a firm quotation, the securities company shall proceed as
and evidence as considered appropriate within the time as specified by the Office. If the applicant fails to comply or proceed as being required, the Office shall deem that such applicant does not
documents and evidence as considered appropriate within the time as specified by (Translation) 4 the Office. If the applicant fails to comply or proceed as being required, the Office shall deem that such
delegation shall be in compliance with the following rules: (1) The person delegated to proceed such management shall be a person who is licensed to provide the services of derivatives fund manager; and (2
to another person, such delegation shall be in compliance with the following rules: (1) The person delegated to proceed such management shall be a person who is licensed to provide the services of
intermediaries to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1
to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1