to undertake derivatives business in various categories consisting of: (a) derivatives brokerage; (b) derivatives dealing; (c) derivatives advisory service; (d) derivatives fund management; (2
) Staff dealing as specified in Part 4; Management company shall have an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create conflict of
Part 3; (4) Staff dealing as specified in Part 4; Management company shall have an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create
) Proprietary trading as specified in Part 1; (2) Affiliated Transaction as specified in Part 2; (3) Soft commission as specified in Part 3; (4) Staff dealing as specified in Part 4; Management company shall have
underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of the securities company or its client during placing short selling order, in case of short selling by means of entering
units for exchanging with underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of the securities company or its client during placing short selling order, in case of short
account: (a) there shall be [i] an asset for exchanging with the ETF units or [ii] the ETF units for exchanging with underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of
of the agricultural derivatives business according to the type specified in the license only after the SEC Office has examined and viewed that the licensee can demonstrate its possession of: (a) good
licensee can demonstrate its possession of: (a) good and efficient management; (b) efficient policies and measures on prevention of conflicts of interest, prevention of access to inside information between