units of a mutual fund offered for sale to institutional or ultra high net worth investor in accordance with the Notification of the Capital Market Supervisory Board Re: Rules, Conditions and Procedures
ultra high net worth investor in accordance with the Notification of the Capital Market Supervisory Board Re: Rules, Conditions and Procedures for Establishment and Management of Mutual Funds Offered to
investment decision, investors should exercise their own judgment when considering detailed information relating to the issuing company of the securities and the conditions of securities, including the
Public. Clause 5 An applicant who submits an application for approval under Clause 4 shall be granted an approval by the SEC Office only when the following conditions have been satisfied: (1) being a
Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well
and Clause 24, shall not apply to the providing of derivatives brokerage services to the clients who are institutional investors. Chapter 2 Organizational Structure, Operation System, and Operational
pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control --------------------------------------- Clause 5. 5 Derivatives broker shall
of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control --------------------------------------- Clause 5.5 Derivatives broker shall