manager” means a mutual fund manager or a private fund manager who is responsible for making decisions regarding investments in or disposals of securities or other assets that are not immovable properties
shall making a clearly understanding with counter trader about the expiry date of such offering price end: (2) In case where the price being offered with conditions, securities company shall clearly
case where securities company offer a firm quotation, such securities company shall; (1) Purchase or sell with such offering price and shall making a clearly understanding with counter trader about the
, such securities company shall; (1) Purchase or sell with such offering price and shall making a clearly understanding with counter trader about the expiry date of such offering price end: (2) In case
during the course of business undertaking shall be taken into account in making risk appraisal; (3) measures for prevention of inside information leaking between work units and personnel of a securities
company. All types of risks which may occur during the course of business undertaking shall be taken into account in making risk appraisal; (3) measures for prevention of inside information leaking between
complaints, in accordance with the criteria prescribed and notified by the SEC Office. Clause 31 In making client contact, solicitating or giving advice, the derivatives broker may use the services of third
. Clause 319 In making client contact, solicitating or giving advice, the derivatives broker may use the services of third parties in making analysis or giving investment advice in accordance with the