pursuant to the Notification of the Office of the Securities and Exchange Commission governing establishment of mutual funds and execution of agreements for management of private funds; (14) “mutual fund
Exchange Commission governing establishment of mutual funds and execution of agreements for management of private funds; (14) “mutual fund management company” means a securities company licensed to undertake
establishment of mutual funds and execution of agreements for management of private funds; (14) “mutual fund management company” means a securities company licensed to undertake securities business in the
operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline
securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of
broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of
acceptable to the Office. Clause 2. The derivatives broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk
e-service Online Submission See canceled document Business Operation Rules >> Proprietary Investment (Section 98(7)) Type Title Section See Document Status Notified Date Effective Date 1. Act