cases where a client wishes to use services relating to each type of the risky or complex capital market products for the first time, an intermediary shall examine the client’s investment knowledge in
type of the risky or complex capital market products for the first time, an intermediary shall examine the client’s investment knowledge in order to assess suitability before investing in or entering
without a doubt. Clause 18 In taking the actions under Clause 16 and Clause 17, a derivatives clearing house shall examine and ensure that its staff strictly complies with the applicable notifications and
, in addition to the action under the first paragraph, the mutual fund management company shall arrange for the mutual fund supervisor to examine and certify in writing that such transaction is in
appeal consideration shall examine an appeal. If [the department in charge of appeal consideration] considers that the appeal does not contain particular under Clause 20, it shall propose to the Secretary
paragraph, the mutual fund management company shall arrange for the mutual fund supervisor to examine and certify in writing that such transaction is in accordance with normal commercial practice similar to
rights of a customer as follows; (a) the right to be informed of any behavior which may cause a conflict of interests; (b) the right to inspect customer personal information including the advice that the
derivatives business that will be commenced specifically to agricultural derivatives; (2) in the case where the licensee has requested the SEC Office to inspect operation's promptness during application