Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business. Clause 24 In cases where an intermediary being a distribution channel of any government bond or bond guaranteed
. Disclose any subsequent significant changes in the capitalization and indebtedness and a statement of capitalization and indebtedness that provides current information about the issuer’s guaranteed
contract with the derivatives dealer. Clause 13 8 A derivatives dealer shall provide the procedure to ensure that the clients acknowledge and understand the information and risks relating to derivatives
4 January 2013. 4 Clause 138 A derivatives dealer shall provide the procedure to ensure that the clients acknowledge and understand the information and risks relating to derivatives trading by minimum
shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain
operation system shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment
. Maintenance of status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and