), which contain certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43, Section
Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short-term investment shall not be made
Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short- term investment shall not be made
/forwards/swaps etc.) …………………………………………………….. □ others……………………………………………… …………………………………………………….. 2.3 The applicant is under restriction and suspension in conducting derivatives business as a derivatives dealer
derivatives contract (futures/options /forwards/swaps etc.) …………………………………………………….. □ others……………………………………………… …………………………………………………….. (Translation) 2.3 The applicant is under restriction and suspension in
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
objective restriction in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset
) which contains certain provisions in relation to the restriction of rights and liberty of persons which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43, and